Allen Cheng Tsai

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 01/2011 → 11/2016
  Wells Fargo Advisors Llc
  Newport Beach, CA
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA

Previous Registrations

• 2009-11-04 → 2011-01-03
  Wells Fargo Investments, Llc
  Irvine, CA
  Newport Beach, CA
  Irvine, CA
  Orange, CA
  Mission Viejo, CA
  San Clemente, CA
• 2009-05-02 → 2009-11-02
  Chase Investment Services Corp.
  Irvine, CA
  Irvine, CA
• 2006-12-18 → 2009-05-02
  Wamu Investments, Inc.
  Irvine, CA
  Costa Mesa, CA
  Irvine, CA
  Irvine, CA
  Irvine, CA
  Costa Mesa, CA
  Irvine, CA
  Irvine, CA

Other Businesses

RENTAL PROPERTY, INV RELATED, IRVINE, CA, 50% OWNERSHIP, START 8/2014, HALF HOUR PER MONTH/0 DURING TRADING. TBD LLC; INV. RELATED; TUSTIN, CA; 100% OWNERSHIP; RENTAL PROPERTIES; START 7/15/2019; 1 HR PER MONTH; 0 HRS DURING TRADING. RENTAL PROPERTY, INVT RELATED, PIGEON FORGE, TN, 100% OWNERSHIP, START 10/1/2019, 1 HR PER MONTH, 0 HRS DURING TRADING, LANDLORD TBD LLC, INV RELATED, TUSTIN, CA, 100% OWNERSHIP, START 5/5/2021, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, TO HOLD PRIVATE INVESTMENTS AND REAL ESTATE. RENTAL PROPERTY, INVT RELATED, CUMMING, GA, 100% OWNERSHIP WITH SPOUSE, START DATE 1/1/2022, 0 HRS PER MONTH, 0 HRS DURING TRADING, LANDLORD.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-12-16
• S63 Uniform Securities Agent State Law Examination
  1996-07-18