Capabilities

We are a team of professionals who have years of experiences in the financial planning services.  Ms. Sandra Wales, President of Wales Investments, is a Retirement Planning instructor at UC Santa Cruz Extension.  Her intimate understanding of qualified and nonqualified retirement plans enables her to assist corporations and business owners in designing the most effective retirement plans.  We have Certified Financial Planners on board to provide objective financial planning support.  Specialized expertise at our firm includes education funding and managing financial issues arising out of divorce.  Wales Investments is a registered investment advisor with U.S. Securities and Exchange Commission (SEC) and provides clients with full spectrum of wealth management services.  We have in-house multi-lingual capabilities include Mandarin, Russian and Ukrainian to assist non-English speaking clients.

Professionalism

We at Wales Investments, Inc. are governed by the Code of Ethics and Professional Responsibilityadopted by Certified Financial Planner Board of Standards.  We conduct business to the highest professional standard.  Our business is fee-based, and we negotiate charges based on scope of work performed.

Comprehensive Services

We understand that each client's particular needs cannot be met with a cookie-cutter approach.  Our full range of services enables us to adapt to special circumstances and provide personalized services.  From retirement plan design to financial planning seminars, Wales Investments has the capability to deliver services and results.  We can craft our delivery to suit the needs and culture of your workplace.  Services available include one-on-one counseling, meetings, brown-bag lunch seminars, telephone support and email discussions, etc.  For staff coming from overseas, we will conduct "New Hire Financial Orientation" to get them familiarized with a host of financial issues, including retirement planning, estate planning and other financial situations uniquely affected by their immigration status.  We will recommend the best method according to clients' preferences and objectives.