Sandra WalesCRD Number: 4065884
Current Firm: Wales Investments Inc.
Sandra Wales (CRD# 4065884) is an Investment Advisor Representative working at Wales Investments Inc. in San Jose, CA and has over 21 years of experience in the finance industry. Sandra Wales has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Wells Fargo Clearing Services, LLC
Lpl Financial LLC
|Wales Investments Inc.||San Jose, CA||Sep 2014 - Current||6|
|Concert Wealth Management Inc.||San Jose, CA||Nov 2011 - Sep 2014||2|
|Ucsc||San Jose, CA||Jan 2005 - Dec 2013||8|
|Wales Investments Inc.||San Jose, CA||Aug 2003 - Nov 2011||8|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1999|
|S65||NASAA Investment Advisors Law Examination||Feb 2002|
Total Assets Under Management83MILLIONS
Total Number of Accounts352ACCOUNTS
Average Account Value$234,550
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Publication of periodicals or newsletters
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