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Detailed Report
PHILIP YING PENG
PHILIP PENG
CRD#: 6949443
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3020 OLD RANCH PKWY
STES 190, 150 & 140
SEAL BEACH, CA 90740
Registration History
2018201920202021202220232024202520262 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
Arizona 9/10/2018
B
New Jersey 1/30/2025
B
California 8/17/2018
B
New York 1/6/2022
IA
California 8/17/2018
B
North Carolina 7/7/2021
B
Colorado 4/3/2024
B
Oregon 9/10/2018
B
Florida 6/13/2023
B
Pennsylvania 9/10/2018
B
Georgia 9/10/2018
B
South Carolina 9/10/2018
B
Kansas 12/19/2024
B
Virginia 1/9/2024
B
Massachusetts 2/20/2020
B
Washington 9/10/2018
B
Michigan 1/19/2021
B
Wisconsin 1/9/2024
B
Nevada 9/10/2018

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
3020 OLD RANCH PKWY STES 190, 150 & 140, SEAL BEACH, CA 90740
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 8/17/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3020 OLD RANCH PKWY STES 190, 150 & 140, SEAL BEACH, CA 90740
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 7/18/2018
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.