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Wenqian Wang
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CRD#: 6776096
WW
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Wenqian Wang, CFP®, who also goes by Wendy Wang, was a registered financial professional .
Wenqian is a previously registered financial professional and started their career in finance in 2017. Wenqian had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Wendy Wang
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.) LE INSURANCE SERVICES - 6/15/2019 - 12015 115th Avenue NE, Suite 290, Kirland, WA 98034 - Co-owner, Fixed line life insurance product sales, Not Invt Rel, Insurance business, 200 hrs/mo; 100 hrs/mo (during trading hours). 2.) CARROL & ASSOCIATES dba FORTRESS MEGA LLC - 2/14/2019 - 1407 116th Avenue NE, Suite 112, Bellevue, WA 98004 - Brokerage Manager, Recruit and train life insurance agents, Not Invt Rel, Insurance business, 200 hrs/mo; 100 hrs/mo (during trading hours). 3.) OPERASSET - 2/14/2019 - 1407 116th Avenue NE, Suite 112, Bellevue, WA 98004 - Business Owner, Fixed line life insurance product sales, Not Invt Rel, Insurance business, 500 hrs/mo; 300 hrs/mo (during trading hours) 4.) Chinese Institute of Engineers/USA-Seattle; 15921 NE 8th St, Ste 200, Bellevue, WA 98008; Not investment related; 5 hrs/month, 0 during trading; Start 1/1/2023; Board of DIrector; Non-profit; No compensation; Help CIE-Seattle promote local annual convention, national chapter annual convention, youth academic programs, professional development seminars and events. 5.) Seattle Shaolin Kungfu Academy; 13241 NE 20th St, Bellevue, WA 98005; Not investment related; 30 hrs/month, 15 during trading; Start 7/1/2023, End 7/31/2023; Instructor; Hourly compensation; Teach kids general concepts about finance, sell used books/toys to raise money.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
September 27, 2022 - March 28, 2023
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Bellevue, WA
Past
June 24, 2022 - March 28, 2023
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Bellevue, WA
Past
August 3, 2020 - July 1, 2022
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
July 20, 2017 - February 15, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
BELLEVUE, WA
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".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
