CL
CFP
CL
CFP

Carole Liang

16 Years of Experience
Oakbrook, IL
Broker

Carole Liang is a CFP-designated registered investment advisor at Wells Fargo Advisors, based in Oakbrook, IL, with 16 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

1515 W 22nd St Ste 550W, Oakbrook, IL, 60523

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Wells Fargo Advisors
April 2024 - Present · 2 yrs 1 mo
Wells Fargo Advisors Financial Network, LLCBroker
April 2024 - Present · 2 yrs 1 mo
Previous Registrations
Wells Fargo Advisors
September 2013 - April 2024 · 10 yrs 7 mos
Wells Fargo Clearing Services, LLCBroker
January 2013 - April 2024 · 11 yrs 3 mos
Jms Securities L.P.Broker
July 1989 - February 1991 · 1 yr 7 mos
Bear, Stearns & CO. INC.Broker
September 1987 - July 1989 · 1 yr 10 mos
La Salle St. Securities, INC.Broker
February 1987 - May 1987 · 3 mos
State Registrations27 states
AZCACODCFLGAIAILINKYMAMIMNMONJNMNVNYOHPATNTXVAVTWAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Carole Liang - Financial Advisor | TrueAdvisor