Huiming Sun

WEALTH MANAGEMENT

Clinton, MS 39056

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CRD#: 6616630

Professional summary

Huiming Sun is a registered financial advisor currently at WEALTH MANAGEMENT, LLC located in Clinton, Mississippi.

Huiming is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Huiming has worked at 1 firm and has passed the Series 65 exam.

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.

Tax Preparation done by Huiming Sun for three persons. It will take about 25 hours per year.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Huiming Sun'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

February 19, 2016 - Present

WEALTH MANAGEMENT, LLC

Office #1: 105 Garden Way, Clinton, MS 39056

RIA

CRD#: 115214

Clinton, MS

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

Mississippi
(2/19/2016)

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 65

Date: 2/18/2016

Uniform Investment Adviser Law Examination

Current Firm

WEALTH MANAGEMENT, LLC

CRD#: 115214 / SEC#: 801-60562

RIA

Registered Investment Advisory firm - (12/11/2002 Terminated)

Mississippi

Registered Investment Advisory firm - (2/19/2003 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

105 Garden Way, Clinton, MS 39056

Mailing Address

P.o. Box 1279, Clinton, MS 39060

Phone number

(601) 307-5315

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	46
AUM (Assets Under Management)	$ 19,707,884

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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Huiming Sun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Huiming Sun's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/18/2016

Current Firm

WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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