CW
Chen-han Wang
FISHER\SMB
PLANO, TX 75093
Some features on this profile are disabled
CRD#: 5860509
CW
Professional summary
Chen-han Wang is a registered financial advisor currently at FISHER\SMB located in Plano, Texas.
Chen-han is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Chen-han has worked at 7 firms and has passed the Series 65, Series 66, Series 63, 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.
name of the other business; WTY LLC whether the business is investment-related; NO; address of the other business; AUSTIN TX; nature of the other business; RENTAL PROPERTY; position; MANAGER; start date of your relationship;10/01/20; approximate number of hours/month you devote to the other business; 1-5; number of hours you devote to the other business during securities trading hours;0; your duties relating to the other business; MANAGING RENTAL PROPERTY; name of the other business; Tanased LLC whether the business is investment-related; NO; address of the other business; Dallas, TX; nature of the other business; Clothing Retail; position; MANAGER; start date of your relationship;3/01/22; approximate number of hours/month you devote to the other business; 1-5; number of hours you devote to the other business during securities trading hours;0; your duties relating to the other business; manage operations; the name of the other business; Pill Parcel LLC whether the business is investment-related; No the address of the other business; Dallas, TX the nature of the other business; Pharmacy your position; Managing Member title, or relationship with the other business; Member the start date of your relationship; 6/15/2024 the approximate number of hours/month you devote to the other business;10 the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; member of the LLC
CRS (Client Relationship Summary) - RIA
Click below to view Chen-han 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 5, 2024 - Present
FISHER\SMB
Office #1: 6404 International Parkway Suite 1100, Plano, TX 75093RIA
CRD#: 331205
PLANO, TX
Past
February 10, 2020 - July 3, 2024
FISHER INVESTMENTS
RIA
CRD#: 107342
PLANO, TX
Past
April 10, 2018 - November 7, 2019
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
March 31, 2015 - January 22, 2018
NEXPOINT SECURITIES, INC.
BD
CRD#: 165013
DALLAS, TX
Past
July 11, 2014 - June 8, 2016
NEXBANK SECURITIES INC
BD
CRD#: 133267
DALLAS, TX
Past
May 28, 2014 - July 10, 2014
NEXPOINT SECURITIES, INC.
BD
CRD#: 165013
DALLAS, TX
Past
August 30, 2011 - May 15, 2014
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
WESTLAKE, TX
Past
January 13, 2011 - May 14, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
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".
FI
FISHER\SMB
FISHER RETIREMENT SOLUTIONS LLC | FISHER\SMB
CRD#: 331205 / SEC#: 801-130272
RIA
Registered Investment Advisory firm - (5/31/2024 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.Highlighted states indicate IAR registrations
IAR
Texas(7/5/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FI
FISHER\SMB
FISHER RETIREMENT SOLUTIONS LLC | FISHER\SMB
CRD#: 331205 / SEC#: 801-130272
RIA
Registered Investment Advisory firm - (5/31/2024 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
6404 International Parkway Suite 1100, Plano, TX 75093
Mailing Address
Phone number
(888) 674-4504
Established
Firm type
Fiscal year end
# of Employees
133
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,768 |
| AUM (Assets Under Management) | $ 5,461,349,416 |
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
FISHER\SMB
CRD#: 331205Plano, TX 75093TRUST BUT VERIFY
Monitor Chen-han Wang
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
