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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Xiao wen? Claim Your ProfileXiao wen Luo is a financial advisor at UBS Financial Services Inc. Xiao wen has been in the financial industry since 2016 and has experience working with a variety of clients, including individuals, businesses, and institutions. Xiao wen is licensed to provide investment advice in multiple states, including California, Alaska, Colorado, and Florida. Xiao wen has passed the Series 66, Series 7, and SIE exams, demonstrating a commitment to staying current with industry standards and providing high-quality advice. In addition to Xiao wen's investment advisory experience, Xiao wen also owns a real estate property in San Francisco and is a fitness instructor.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
CA
07/09/2024 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
11/23/2021 - 04/08/2023
J.P. MORGAN SECURITIES LLC (San Francisco CA)
CA
04/23/2020 - 10/22/2021
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
03/22/2016 - 04/17/2020
MORGAN STANLEY (MENLO PARK CA)
BOTH
Issued 05/13/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2016
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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