KATIE WEI (LANTING WEI) has been registered as a broker and as an investment advisor with AMERIPRISE FINANCIAL SERVICES, LLC, REDWOOD CITY, CA since 2/26/2025. Before Ameriprise, KATIE WEI was listed as a broker with CETERA INVESTMENT SERVICES LLC OF ARCADIA, CA from 06/05/2015 - 11/21/2024, and as an investment advisor with CETERA INVESTMENT ADVISERS LLC of CITY OF INDUSTRY, CA from 09/30/2015 - 11/21/2024.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, KATIE WEI has 10 years of experience in the securities industry and has been listed with 4 firms.
KATIE WEI has 3 disclosures on FINRA’s BrokerCheck. One of the disclosures is an “Employment Separation after Allegations” dated 4/1/2014. KATIE WEI “voluntarily resigned” from WELLS FARGO ADVISORS, LLC.
Two of the disclosures listed on KATIE WEI’s BrokerCheck are “Customer Disputes.” There is a dispute dated 7/29/2024 which was denied. The other “Customer Dispute” is dated 2/28/2025 and is currently pending. The allegations are, “Claimants allege unsuitable investment recommendations.” The damage amount requested is $300,000.00.
According to FINRA, suitability obligations are critical to ensuring investor protection and promoting fair dealings with customers and ethical sales practices. FINRA Rule 2111 governs general suitability obligations, certain securities are covered under other rules that may contain additional requirements. FINRA Rule 2111 requires that a firm or associated person have a reasonable basis to believe a recommended transaction or investment strategy is suitable for the customer. This is based on the information obtained through reasonable diligence of the firm or associated person to confirm the customer’s investment profile. The rule states that the customer’s investment profile “includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs [and] risk tolerance,” among other information. Brokers must have a firm understanding of both the product and the customer, according to FINRA’s Rule 2111.
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