WZ
Wei Zhao
PHOENIX INVESTMENT
San Ramon, CA 94583
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CRD#: 2164337
WZ
Professional summary
Wei Zhao is a registered financial advisor currently at PHOENIX INVESTMENT located in San Ramon, California.
Wei is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Wei has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name of the Business: CAC Pension; Investment-Related: No; Address: 111 Deerwood Rd, Ste 325, San Ramon, CA 94583; Position: President; Hours work each week: 15 hours or 30% I work more than 50 hours each week; Duties: Oversee and supervise (CAC), which is a non-fiduciary actuarial consulting and third party administration service. The service under CAC includes: Plan design, annual valuation and administration including non-discrimination tests; Government forms preparation and filing; Assist plan sponsors in benefit calculation and distributions.
CRS (Client Relationship Summary) - RIA
Click below to view Wei Zhao's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 23, 2019 - Present
PHOENIX INVESTMENT
Office #1: 111 Deerwood Rd Ste 325, San Ramon, CA 94583RIA
CRD#: 299731
San Ramon, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(4/23/2019)
IAR
Massachusetts(9/11/2019)
IAR
Texas(4/7/2021)
Current Firm
PI
PHOENIX INVESTMENT
PHOENIX INVESTMENT | PI WEALTH MANAGEMENT LLC
CRD#: 299731 / SEC#:
California
Registered Investment Advisory firm - (4/23/2019 Approved)Massachusetts
Registered Investment Advisory firm - (9/11/2019 Approved)Texas
Registered Investment Advisory firm - (4/7/2021 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
111 Deerwood Rd Ste 325, San Ramon, CA 94583
Mailing Address
Phone number
(925) 284-4222
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 93 |
| AUM (Assets Under Management) | $ 54,389,951 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 1/23/2019 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PHOENIX INVESTMENT
CRD#: 299731San Ramon, CA 94583TRUST BUT VERIFY
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