Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Xay? Claim Your ProfileXay Thao is a financial advisor with Wells Fargo Clearing Services, LLC. Xay has been in the industry since 2011. Xay has a strong background in financial planning and portfolio management. Xay provides a variety of services to individuals, businesses, and institutions, including portfolio management, investment consulting, and financial planning. Prior to joining Wells Fargo Clearing Services, LLC, Xay was a financial advisor at BMO Harris Financial Advisors, Inc. Xay is a licensed securities professional and holds the Series 6, 7, and 66 licenses. Xay is dedicated to providing personalized financial advice to help clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MN
10/16/2019 - Present
Wells Fargo Clearing Services, LLC (MINNEAPOLIS MN)
MN
11/01/2016 - 10/13/2017
BMO HARRIS FINANCIAL ADVISORS, INC. (BURNSVILLE MN)
MN
05/09/2011 - 10/03/2016
WELLS FARGO ADVISORS, LLC (EDEN PRAIRIE MN)
BOTH
Issued 11/14/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/18/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/2012
Series 7 - General Securities Representative Examination
BC
Issued 05/06/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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