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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

QWENDALYNN THUC LAI

Advisor at WELLS FARGO ADVISORS

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:7414a89b-9fd4-c945-380f-ec4c7a05eea2

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 13, 2009 to Sep 19, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 10, 2009
First registration: Apr 13, 2009
Dual registered: yes, broker-dealer
Other names: QUYEN THUC LAI|Qwendalynn ThucQuyen Lai
IAPD individual key: 5576511

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Sep 4, 2026	n/a	yes	SAN FRANCISCO, CA	Current employment
SVB WEALTH	Independent wealth	Jun 28, 2022	n/a	yes	Menlo Park, CA	Current employment
SVB WEALTH	Independent wealth	Jun 28, 2022	Sep 18, 2026	no	Santa Clara, CA\|Menlo Park, CA	Previous registration
SVB INVESTMENT SERVICES INC.	Former SEC adviser	Apr 28, 2020	Jul 29, 2022	no	Santa Clara, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|Santa Clara, CA\|San Diego, CA\|San Francisco, CA\|San Francisco, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Apr 30, 2020	no	LOS ALTOS, CA\|SAN JOSE, CA\|SAN JOSE, CA\|PALO ALTO, CA\|MOUNTAIN VIEW, CA\|PLEASANTON, CA\|WALNUT CREEK, CA\|SUNNYVALE, CA\|SAN JOSE, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 13, 2009	Jan 3, 2011	no	LOS ALTOS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SVB WEALTH	WELLS FARGO ADVISORS	Sep 18, 2026	Sep 4, 2026	-14	Firm change	RIA to wirehouse
SVB INVESTMENT SERVICES INC.	SVB WEALTH	Jul 29, 2022	Jun 28, 2022	-31	Bulk transfer	Ibd to RIA
WELLS FARGO ADVISORS	SVB INVESTMENT SERVICES INC.	Apr 30, 2020	Apr 28, 2020	-2	Firm change	Wirehouse to RIA
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Apr 30, 2020factForm ADV
→ SVB WEALTHRegistered adviserregistration: current employment
Jun 28, 2022 to presentfactForm ADV
→ SVB INVESTMENT SERVICES INC.Registered adviserregistration: previous registration
Apr 28, 2020 to Jul 29, 2022factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 13, 2009 to Jan 3, 2011factForm ADV

Dated events

Occurred
Sep 18, 2026
Advisor changed firm
Qwendalynn Thuc Lai left Svb Wealth for Wells Fargo Advisors (registered 2026-09-04)
Form ADVobserved yesterday