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Miao Ling Guan

Arete Wealth Advisors, LLC

San Francisco, CA

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Current Employers
Arete Wealth Advisors, Llc

1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-12-09
  • CA RA
    APPROVED
    Since 2024-12-09

Branch Locations

601 Montgomery Street Suite 1950, San Francisco, CA 94111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Portsmouth Financial San Francisco CA 11/2013 09/2021
Morgan Stanley San Francisco CA 09/2021 04/2022
Portsmouth Financial San Francisco CA 01/2023 Present
Unemployed San Francisco CA 04/2022 01/2023
Arete Wealth Management Chicago IL 12/2024 Present
  • 11/2013 → 09/2021
    Portsmouth Financial
    San Francisco, CA
  • 09/2021 → 04/2022
    Morgan Stanley
    San Francisco, CA
  • 01/2023 → Present
    Portsmouth Financial
    San Francisco, CA
  • 04/2022 → 01/2023
    Unemployed
    San Francisco, CA
  • 12/2024 → Present
    Arete Wealth Management
    Chicago, IL
Previous Registrations
  • 2023-01-12 → 2024-12-31
    Portsmouth Financial Services
    San Francisco, CA
  • 2022-01-10 → 2022-05-11
    Morgan Stanley
    San Francisco, CA
Other Businesses

Portsmouth Financial dba

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-01-08
S63 Uniform Securities Agent State Law Examination 2007-11-20
  • S65 Uniform Investment Adviser Law Examination
    2022-01-08
  • S63 Uniform Securities Agent State Law Examination
    2007-11-20
Other Names
  • Miao-Ling Guan
  • Amy Guan
  • Miao-Ling Guan

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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