Mai S. Yang

HEARTWORTH FINANCIAL LLC

GOLDEN VALLEY, MN

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CRD#: 6015661

Professional summary

Mai Soua Yang, CFP®, who also goes by Mai Soua XIong, is a registered financial advisor currently at HEARTWORTH FINANCIAL LLC located in Golden Valley, Minnesota.

Mai is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Mai has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mai Soua Xiong

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. GREENWALD WEALTH MANAGEMENT, AS INSURANCE AGENT SELLING FIXED LIFE INSURANCE (TERM/UNIVERSAL/WHOLE), LONG TERM CARE INSURANCE AND DISABILITY INSURANCE, CONDUCTED AT BRANCH, INVESTMENT RELATED. 2. NOTARY PUBLIC, CONDUCTED AT BRANCH, NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mai Soua Yang'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®

CFP^®

Certified Financial Planner

Experience

Current

August 26, 2024 - Present

HEARTWORTH FINANCIAL LLC

RIA

CRD#: 332065

GOLDEN VALLEY, MN

Past

January 2, 2015 - January 11, 2023

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

St. Louis Park, MN

Past

April 16, 2013 - September 28, 2018

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

ST. LOUIS PARK, MN

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

Minnesota
(8/26/2024)

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

IAR

Series 66

Date: 7/15/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/2013

General Securities Representative Examination

Current Firm

HEARTWORTH FINANCIAL LLC

CRD#: 332065 / SEC#:

Minnesota

Registered Investment Advisory firm - (8/26/2024 Approved)

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Contact information

Main Address

Saint Louis Park, MN

Mailing Address

Phone number

(612) 515-8250

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Mai S. Yang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mai Soua Yang's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEARTWORTH FINANCIAL LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

State Registrations and Notice Filings

Exams

Series 66

Date: 7/15/2013

SIE

Date: 9/28/2018

Series 7

Date: 4/15/2013

Current Firm

HEARTWORTH FINANCIAL LLC

Contact information

Documents

Red Flags

Company Information

HEARTWORTH FINANCIAL LLC

TRUST BUT VERIFY

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