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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

ALLEN CHENG TSAI

Advisor at WELLS FARGO ADVISORS

IRVINE, CA

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Search this name across graphsid dfx:ria:cdcb0be2-8d03-db59-0100-529e72493e5b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 18, 2006 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: 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 18, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jul 18, 1996
First registration: Dec 18, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 2705505

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	Jan 3, 2011	n/a	yes	IRVINE, CA\|IRVINE, CA	Current employment
WELLS FARGO INVESTMENTS, LLC	n/a	Nov 4, 2009	Jan 3, 2011	no	IRVINE, CA\|NEWPORT BEACH, CA\|IRVINE, CA\|ORANGE, CA\|MISSION VIEJO, CA\|SAN CLEMENTE, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Nov 2, 2009	no	IRVINE, CA\|IRVINE, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Dec 18, 2006	May 2, 2009	no	IRVINE, CA\|COSTA MESA, CA\|IRVINE, CA\|IRVINE, CA\|IRVINE, CA\|COSTA MESA, CA\|IRVINE, CA\|IRVINE, 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
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	WELLS FARGO INVESTMENTS, LLC	Nov 2, 2009	Nov 4, 2009	2	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jan 3, 2011 to presentfactForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Nov 4, 2009 to Jan 3, 2011factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Nov 2, 2009factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Dec 18, 2006 to May 2, 2009factForm ADV

Dated events

No dated event names this entity yet.