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AA

Anil Advani

WNC CAPITAL
Irvine, CA 92614-6404
Some features on this profile are disabled
CRD#: 4779981
AA

Professional summary

Anil Advani is a registered financial professional currently at WNC CAPITAL CORPORATION located in Irvine, California.

Anil is registered as a RR (Registered Representative) and started their career in finance in 2014. Anil has worked at 1 firm and has passed the Series 63, SIE and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anil Advani'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®
None

Experience

Current

August 15, 2014 - Present

WNC CAPITAL CORPORATION

Office #1: 17782 Skypark Circle, Irvine, CA 92614-6404
BD
CRD#: 36174
Irvine, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(12/5/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 8/15/2014
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WNC CAPITAL CORPORATION
WNC CAPITAL CORPORATION

CRD#: 36174 / SEC#: , 8-47101

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
17782 Skypark Circle, Irvine, CA 92614-6404
Mailing Address
17782 Skypark Circle, Irvine, CA 92614-6404
Phone number
(714) 662-5565
Established
California since 02/23/1994
Firm type
Corporation
Fiscal year end
August
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WNC & ASSOCIATES, INC.SHAREHOLDER
COOPER, WILFRED NDIRECTOR
COOPER, WILFRED NEWBURY JRDIRECTOR, CEO, PRESIDENT1966513
VALLEJO, BRADLEY JASONCCO/AMLCO7621742
WENK, MELANIE RAEFINOP/PFO/POO6244000

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.

Company Information

WNC CAPITAL CORPORATION

CRD#: 36174Irvine, CA 92614-6404

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