Jane An
NWF ADVISORY SERVICES | Financial Advisor
Newport Beach, CA 92660
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CRD#: 4683148
Professional summary
Jane An is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Newport Beach, California and OSAIC WEALTH, INC. located in Newport Beach, California.
Jane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jane has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
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.
1. Monolithe Wealth Planning Group Position President; Nature LLC taxed as a S-Corp: Investment Related Yes; # of Hours 160 ; # of Security Hours 160; Start Date 09/01/2007; Address 4340 Von Karman Ave Suite 200 Suite 200, CA 92660 : Description Monolithe Wealth Planning Group is the DBA for my securities business. This is how I brand my business 2. NWF POSITION: Investment Advisor Representative NATURE: IAR under NWF's RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/11/2019 ADDRESS: 4340 Von Karman Ave, Suite 200, Newport Beach CA 92660, United States DESCRIPTION: Investment Advisor 3. FOCUS REALTY LLC POSITION: President NATURE: LLC for real estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/08/2017 ADDRESS: 4340 Von Karman Ave, Suite 200, Newport Beach CA 92660, United States DESCRIPTION: This is an LLC that holds the real estate holding 4. FIXED INSURANCE POSITION: Insurance NATURE: Selling Fixed Insurance such as Term Insurance and Disability. There is no separate structure for this business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2007 ADDRESS: 4340 Von Karman Ave, Suite 200, Newport Beach CA 92660, United States DESCRIPTION: Based on client's financial planning needs, we offer and provide fixed insurance needs. 5. BGJM PURA VIDA LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/10/2020 ADDRESS: 4340 Von Karman Ave, Suite 200, Newport Beach CA 92660, United States DESCRIPTION: The LLC is being created to hold real estate
CRS (Client Relationship Summary) - RIA
Click below to view Jane An'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
September 12, 2019 - Present
NWF ADVISORY SERVICES INC
Office #1: 4340 Von Karman Ave. Suite 200, Newport Beach, CA 92660RIA
CRD#: 110410
Newport Beach, CA
Current
September 11, 2019 - Present
OSAIC WEALTH, INC.
Office #1: 4340 Von Karman Avenue Suite 200, Newport Beach, CA 92660RIA
BD
CRD#: 23131
Newport Beach, CA
Past
August 3, 2016 - September 11, 2019
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Newport Beach, CA
Past
August 1, 2016 - September 11, 2019
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Newport Beach, CA
Past
March 16, 2009 - August 1, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
IRVINE, CA
Past
March 13, 2009 - August 1, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
IRVINE, CA
Past
October 17, 2007 - March 16, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
IRVINE, CA
Past
October 17, 2007 - March 16, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
IRVINE, CA
Past
October 13, 2003 - October 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
IRVINE, CA
Past
September 17, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 17, 2003 - October 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
IRVINE, CA
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".
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(9/18/2019)
RR
Arizona(9/16/2019)
RR
California(9/11/2019)
IAR
California(9/12/2019)
RR
Florida(4/27/2022)
RR
Idaho(8/6/2020)
RR
Michigan(8/8/2024)
RR
Nevada(9/16/2019)
RR
New Hampshire(9/16/2019)
RR
New Jersey(3/31/2023)
RR
New Mexico(1/11/2024)
RR
Oregon(9/16/2019)
RR
Texas(8/11/2022)
RR
Washington(9/27/2021)
RR
Wyoming(10/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064
Mailing Address
Phone number
(310) 475-5854
Established
Firm type
Fiscal year end
# of Employees
71
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
Red Flags
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Company Information
NWF ADVISORY SERVICES INC
Financial AdvisorCRD#: 110410Newport Beach, CA 92660TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
