WP
Wendy Pan
TRUIST ADVISORY SERVICES
SAN FRANCISCO, CA 94104
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CRD#: 6436965
WP
Professional summary
Wendy Pan is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in San Francisco, California and TRUIST INVESTMENT SERVICES, INC. located in San Francisco, California.
Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Wendy has worked at 4 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.
LA LEGGERS POSITION: Treasurer NATURE: This is a running club. I am currently serving as the treasurer of the club. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: Santa Monica CA, United States DESCRIPTION: Monitor bank transactions. Maintain portfolio of CDs.
CRS (Client Relationship Summary) - RIA
Click below to view Wendy Pan'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
January 20, 2023 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: One Montgomery Ste 2800, San Francisco, CA 94104RIA
CRD#: 283390
SAN FRANCISCO, CA
Current
January 20, 2023 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: One Montgomery Ctr Ste 2800, San Francisco, CA 94104BD
CRD#: 17499
SAN FRANCISCO, CA
Past
January 5, 2016 - January 17, 2023
CITY NATIONAL SECURITIES, INC.
RIA
CRD#: 103705
LOS ANGELES, CA
Past
June 15, 2015 - July 16, 2015
CNR SECURITIES, LLC
BD
CRD#: 18466
NEW YORK, NY
Past
June 15, 2015 - January 17, 2023
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
LOS ANGELES, 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".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
Registered Investment Advisory firm - (5/18/2016 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
Alabama(1/20/2023)
RR
Alaska(1/20/2023)
RR
Arizona(1/20/2023)
RR
Arkansas(1/20/2023)
RR
California(1/20/2023)
IAR
California(1/20/2023)
RR
Colorado(1/20/2023)
RR
Connecticut(1/20/2023)
RR
Delaware(1/20/2023)
RR
District of Columbia(1/20/2023)
RR
Florida(1/20/2023)
RR
Georgia(1/20/2023)
RR
Hawaii(1/20/2023)
RR
Idaho(1/20/2023)
RR
Illinois(1/20/2023)
RR
Indiana(1/20/2023)
RR
Iowa(1/20/2023)
RR
Kansas(1/20/2023)
RR
Kentucky(1/20/2023)
RR
Louisiana(1/20/2023)
RR
Maine(1/20/2023)
RR
Maryland(1/20/2023)
RR
Massachusetts(1/20/2023)
RR
Michigan(1/20/2023)
RR
Minnesota(1/20/2023)
RR
Mississippi(1/20/2023)
RR
Missouri(1/20/2023)
RR
Montana(1/20/2023)
RR
Nebraska(1/20/2023)
RR
Nevada(1/20/2023)
RR
New Hampshire(1/20/2023)
RR
New Jersey(1/20/2023)
RR
New Mexico(1/20/2023)
RR
New York(1/20/2023)
RR
North Carolina(1/20/2023)
RR
North Dakota(1/20/2023)
RR
Ohio(1/20/2023)
RR
Oklahoma(1/20/2023)
RR
Oregon(1/20/2023)
RR
Pennsylvania(1/20/2023)
RR
Puerto Rico(1/20/2023)
RR
Rhode Island(1/20/2023)
RR
South Carolina(1/20/2023)
RR
South Dakota(1/20/2023)
RR
Tennessee(1/20/2023)
RR
Texas(1/20/2023)
RR
Utah(1/20/2023)
RR
Vermont(1/20/2023)
RR
Virgin Islands(1/20/2023)
RR
Virginia(1/20/2023)
RR
Washington(1/20/2023)
RR
West Virginia(1/20/2023)
RR
Wisconsin(1/20/2023)
RR
Wyoming(1/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
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Contact information
Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
