Be advised. This firm is no longer registered.

Wales Investments Inc.

Wales Investments Inc. (CRD# 172894) is a financial advisory firm headquartered in San Jose, CA. They manage $82,561,770 in 352 accounts and serve the financial needs of clients across 1 states (or territories).

By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Publication of periodicals or newsletters
  • Other
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.


Financial Advisors at Wales Investments Inc.
Showing 1 - 1 of 1 top financial advisors.
Sandra L. Wales
CRD#: 4065884
2055 Junction Ave, Suite 100, San Jose, CA 95131

Sandra Wales (CRD# 4065884) is an Investment Advisor Representative working at Wales Investments Inc. in San Jose, CA and has over 18 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.

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