Lorraine Y. Fang

GAMMA INVESTING LLC

Foster City, CA

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CRD#: 3095406

Professional summary

Lorraine Y Fang, who also goes by Lorraine Y Wang, is a registered financial advisor currently at GAMMA INVESTING LLC located in Foster City, California.

Lorraine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Lorraine has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lorraine Y Wang

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.

(1) EAST WINDS CONDO; NOT INVESTMENT RELATED; 345 EAST 80TH STREET, APT 29H, NEW YORK, NY 10021; CONDO RENTAL; LANDLORD; START: 02/2016; NONE; APARTMENT RENTAL. (2) VENTANA CONDO; NOT INVESTMENT RELATED; 150 EAST 85TH STREET, 4G, NEW YORK, NY 10028; CONDO RENTAL; LANDLORD; START: 03/2016; NONE; LANDLORD RELATED DUTIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lorraine Y Fang's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 16, 2021 - Present

GAMMA INVESTING LLC

RIA

CRD#: 312573

Foster City, CA

Past

December 12, 2013 - November 25, 2020

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

NEW YORK, NY

Past

January 1, 1999 - August 20, 2002

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GAMMA INVESTING LLC

GAMMA | GAMMA INVESTING LLC

CRD#: 312573 / SEC#: 801-127959

RIA

Registered Investment Advisory firm - (5/11/2023 Approved)

California

Registered Investment Advisory firm - (6/15/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(6/10/2021)

IAR

Massachusetts
(5/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/21/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2014

General Securities Principal Examination

Current Firm

GAMMA INVESTING LLC

GAMMA | GAMMA INVESTING LLC

CRD#: 312573 / SEC#: 801-127959

RIA

Registered Investment Advisory firm - (5/11/2023 Approved)

California

Registered Investment Advisory firm - (6/15/2023 Terminated)

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Contact information

Main Address

Foster City, CA

Mailing Address

Phone number

(888) 585-1755

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GAMMA INVESTING LLC ADV PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,375
AUM (Assets Under Management)	$ 1,416,839,101

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Lorraine Y. Fang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lorraine Y Fang's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESCO DISTRIBUTORS, INC.

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

GAMMA INVESTING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/2014

SIE

Date: 10/1/2018

Series 7

Date: 12/12/2013

Series 24

Date: 7/1/2014

Current Firm

GAMMA INVESTING LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GAMMA INVESTING LLC

TRUST BUT VERIFY

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