WALES INVESTMENTS INC
CRD #137150 SEC #801-67886 SAN JOSE, CA 408-944-9176
SEC Registered
Total AUM
$39.2M
Discretionary
$35.6M
Employees
5
Clients
101
Accounts
382
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 29, 2011
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| STEPHAN, MARGARET, MELISSA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEPHAN, MARGARET, MELISSA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEPHAN, MARGARET, MELISSA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALES, SANDRA, LOUISE | I | PRESIDENT | E | Control |
| WALES, SANDRA, LOUISE | I | CHIEF COMPLIANCE OFFICER | E | Control |
| WALES, SANDRA, LOUISE | I | PRESIDENT | E | Control |
| WALES, SANDRA, LOUISE | I | CHIEF COMPLIANCE OFFICER | E | Control |
| WALES, SANDRA, LOUISE | I | PRESIDENT | E | Control |
| WALES, SANDRA, LOUISE | I | PRESIDENT | E | Control |
| WALES, SANDRA, LOUISE | I | PRESIDENT | E | Control |
Registrations
Federal
IA
Apr 29, 2011 REGISTERED
Notice Filings (1)
CA
Address
2055 JUNCTION AVE SUITE 100SAN JOSE, CA 95131
United States
Phone: 408-944-9176