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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

XU WANG

Advisor at LPL FINANCIAL LLC

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:7c8e383b-6624-c94f-4f71-764e8c54d1aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 14, 2007 to Sep 14, 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 12, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: May 12, 2007
First registration: May 14, 2007
Dual registered: yes, broker-dealer
Other names: XU "HANA" WANG
IAPD individual key: 5290124

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
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 17, 2013	n/a	yes	SAN FRANCISCO, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Dec 11, 2012	Jan 18, 2013	no	SAN FRANCISCO, CA\|CORTE MADERA, CA	Previous registration
EDWARD JONES	National bd RIA	Mar 31, 2008	Nov 16, 2012	no	ST LOUIS, MO\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	May 14, 2007	Jan 23, 2008	no	BELLEVUE, WA	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
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	Jan 18, 2013	Jan 17, 2013	-1	Firm change	Other
EDWARD JONES	WELLS FARGO ADVISORS	Nov 16, 2012	Dec 11, 2012	25	Firm change	Ibd to wirehouse
BANC OF AMERICA INVESTMENT SERVICES, INC.	EDWARD JONES	Jan 23, 2008	Mar 31, 2008	68	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 17, 2013 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 11, 2012 to Jan 18, 2013factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Mar 31, 2008 to Nov 16, 2012factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 14, 2007 to Jan 23, 2008factForm ADV

Dated events

No dated event names this entity yet.