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Miao Ling Guan

Investment Adviser Representative at ARETE WEALTH ADVISORS, LLC

San Francisco, CACRD #5324874Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
18 yrs
States Registered
1 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
California
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/8/2022
Series 63
Uniform Securities Agent State Law Examination
Passed 11/20/2007
Series 24
General Securities Principal Examination
Passed 11/14/2012
Series 99TO
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/10/2007

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 - $249,0003.00%
$250,000 - $749,9992.50%
$750,000 - $1,499,9992.00%
$1,500,000 - $4,999,9991.75%
$5,000,000 and over1.50%
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

ARETE WEALTH Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ARETE WEALTH MANAGEMENT, LLCCurrent
12/9/2024San Rafael, CA
WHITE PACIFIC SECURITIES, INC.
9/12/20073/8/2012SAN FRANCISCO, CA
EAST / WEST SECURITIES CORP.
3/6/201211/11/2013SAN FRANCISCO, CA
PORTSMOUTH FINANCIAL SERVICES
11/6/20139/7/2021SAN FRANCISCO, CA
MORGAN STANLEY
10/4/20215/11/2022San Francisco, CA
PORTSMOUTH FINANCIAL SERVICES
1/10/202312/31/2024San Francisco, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Miao Ling Guan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Miao Ling Guan - Financial Advisor in San Francisco, CA | AdvisorFinder