JW
Jinrong Wang
NI ADVISORS
MILPITAS, CA 95035
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CRD#: 5158574
JW
Professional summary
Jinrong Wang is a registered financial advisor currently at NI ADVISORS located in Milpitas, California.
Jinrong is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Jinrong has worked at 1 firm and has passed the Series 66, SIE, Series 7 and Series 24 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.
CALIFORNIA STATE DEPARTMENT OF TRANSPORTATION. Non-Investment related. 1801 30th Street Sacramento, CA 95814. Engineering. Senior Bridge Engineer. Since July 2000. 160 hours/month. 8 hours during NAI business hours. Design and Project Management.
CRS (Client Relationship Summary) - RIA
Click below to view Jinrong Wang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jinrong Wang'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
July 21, 2016 - Present
NI ADVISORS
Office #1: 1138 Cadillac Court, Milpitas, CA 95035Office #2: 1138 Cadillac Court, Milpitas, CA 95035-3058RIA
BD
CRD#: 134502
MILPITAS, CA
Current
June 20, 2016 - Present
NI ADVISORS
Office #1: 1138 Cadillac Court, Milpitas, CA 95035Office #2: 1138 Cadillac Court, Milpitas, CA 95035-3058RIA
BD
CRD#: 134502
MILPITAS, CA
Past
July 3, 2006 - September 29, 2008
NI ADVISORS
BD
CRD#: 134502
OAKLAND, 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.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(7/21/2016)
IAR
California(7/21/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NI ADVISORS
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
California
Registered Investment Advisory firm - SEC (5/23/2012 Approved)Colorado
Registered Investment Advisory firm - SEC (7/29/2022 Approved)Florida
Registered Investment Advisory firm - SEC (4/9/2024 Approved)Massachusetts
Registered Investment Advisory firm - SEC (1/4/2023 Approved)New Jersey
Registered Investment Advisory firm - SEC (1/11/2023 Approved)Rhode Island
Registered Investment Advisory firm - SEC (2/11/2022 Approved)Texas
Registered Investment Advisory firm - SEC (2/25/2020 Approved)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
1138 Cadillac Court, Milpitas, CA 95035-3058
Mailing Address
1138 Cadillac Court, Milpitas, CA 95035
Phone number
(510) 306-7777
Established
California since 01/01/2005
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
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.
