Pat Wang has been an investment adviser representative at Shearwater Capital since June 2009, and is not listed among the firm’s executive officers or direct owners.
Shearwater Capital, LLC is a Denver, CO firm with $427M under management, 180 clients and 4 advisers across 2 offices, as of its March 2026 filing.
Pat Wang’s longest registration is the current one, 17 years at Shearwater Capital since 2009. Before joining Shearwater Capital in 2009, Pat Wang was registered through Amerivest Investment Management, LLC and TD Ameritrade, Inc.
- Shearwater CapitalCurrent– present · 17 yearsRedondo Beach, CA · Adviser representative · Firm CRD 115399
- Amerivest Investment Management, LLC– · 3 yearsBeverly Hills, CA · Adviser representative · Firm CRD 111514
- TD Ameritrade, Inc.– · 6 yearsLong Beach, CA · Adviser representative · Firm CRD 7870
Investment adviser representative registrations
Pat Wang is registered as an investment adviser representative in California, since June 2009.
- CaliforniaSince 10 June 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 16 January 1996 |
| Series 31 | Futures Managed Funds Examination | 16 January 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 August 1995 |
| Series 7 | General Securities Representative Examination | 22 August 1995 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 2637650
- Firm
- Shearwater Capital · CRD 115399
- Office
- Redondo Beach, CA
- Registration
- Investment adviser registration
- In the industry since
- May 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Pat Wang work?
Pat Wang is an investment adviser representative registered through Shearwater Capital, LLC since June 2009, and is not listed among the firm’s executive officers or direct owners.
Is Pat Wang a financial advisor?
Yes. Pat Wang has a current investment-adviser registration in California, through Shearwater Capital since June 2009.
How many years of experience does Pat Wang have?
Pat Wang has 23 years in the financial industry, since May 2003, across 3 adviser firms.
What exams has Pat Wang passed?
Pat Wang has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in August 1995.
Where did Pat Wang work before Shearwater Capital?
Before Shearwater Capital, Pat Wang was registered through Amerivest Investment Management, LLC, April 2006 to June 2009; TD Ameritrade, Inc., April 2003 to June 2009.
Where is Pat Wang based?
Pat Wang’s registered office is in Redondo Beach, CA.
Is Pat Wang registered with FINRA?
No. Pat Wang has no current broker registration.
How can I verify Pat Wang’s record?
Search CRD 2637650 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Pat Wang’s full registration record.
