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SALLY WOO NG
SALLY W YOUNG, SALLY WOO YOUNG
CRD#: 1915190
IA
B
THE WEALTH CONSULTING GROUPCRD#: 173194 SAN FRANCISCO, CA
LPL FINANCIAL LLCCRD#: 6413 2255 CONTRA COSTA BLVD STE 301
PLEASANT HILL, CA 94523
PLEASANT HILL, CA 94523
0
Disclosures
36
Years of Experience
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State Registrations
B
California 8/8/2002
B
Nevada 2/6/2015
IA
California 11/18/2015
B
Ohio 4/23/2021
B
Hawaii 9/11/2007
B
Washington 4/1/2021
SRO Registrations
B
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IA
Registered with this firm since 11/18/2015
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Registered with this firm since 8/8/2002
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/08/2002 - 04/29/2016 | FORT MILL, SC | |
IA | 04/17/2000 - 12/21/2015 | WALNUT CREEK, CA | |
IA | 05/28/1999 - 08/13/2002 | WALNUT CREEK, CA | |
B | 05/05/1999 - 08/13/2002 | SPRINGFIELD, MA | |
B | 01/02/1998 - 05/05/1999 | SYRACUSE, NY | |
B | 07/14/1997 - 01/02/1998 | NEW YORK, NY | |
B | 07/23/1991 - 07/02/1997 | WELLESLEY HILLS, MA | |
B | 01/30/1989 - 07/18/1991 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.