Helen N. Perez

WANG FINANCIAL

Santa Barbara, CA 93101

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CRD#: 6931832

Professional summary

Helen Nathalie Perez, CFP® is a registered financial advisor currently at WANG FINANCIAL, LLC located in Santa Barbara, California.

Helen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Helen has worked at 1 firm .

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen Nathalie Perez'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

Start date: 2017

Experience

Current

March 27, 2018 - Present

WANG FINANCIAL, LLC

Office #1: 1114 State Street Suite 300, Santa Barbara, CA 93101

RIA

CRD#: 167570

Santa Barbara, CA

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

California
(3/27/2018)

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

Current Firm

WANG FINANCIAL, LLC

BERGQUIST WANG, LLC | WANG FINANCIAL, LLC

CRD#: 167570 / SEC#: 801-77980

RIA

Registered Investment Advisory firm - (8/20/2021 Terminated)

California

Registered Investment Advisory firm - (8/11/2021 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

1114 State Street Suite 300, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 568-5313

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 66,318,243

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/28/2022	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Helen N. Perez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Helen Nathalie Perez's CRS (Customer Relationship Summary).

Certified licenses

Experience

WANG FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Current Firm

WANG FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WANG FINANCIAL, LLC

TRUST BUT VERIFY

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