Chiu-Ni Wang

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2015 → Present
  Western International Securities, Inc.
  Pasadena, CA
• 06/2025 → Present
  Lpl Financial Llc
  Campbell, CA

Previous Registrations

• 2015-09-29 → 2025-06-05
  Western International Securities, Inc.
  San Francisco, CA
  Campbell, CA
• 2005-06-17 → 2015-08-05
  Lpl Financial Llc
  San Francisco, CA
  San Francisco, CA
• 2002-07-08 → 2005-05-06
  Ifmg Securities, Inc.
  Cupertino, CA

Other Businesses

Accident & Health, Life, and Variable Insurance; Investment-Related; Agent; 11/2019 - Present

Exams

• S66 Uniform Combined State Law Examination
  2001-04-12
• S63 Uniform Securities Agent State Law Examination
  1994-01-18

Designations

• Certified Financial Planner

Other Names

• Nini Wang
• Chiuni (Nini) Wang
• Mimi Wang
• Chiu-Ni (Mimi) Wang
• Chiuni Wang