C. David H. Wong
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
C. David Hua Kim Wong, who also goes by C David Wong, C. David Wong, David C Wong, David Wong, was a registered financial professional .
C. David is a previously registered financial professional and started their career in finance in 1994. C. David had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2017 - December 31, 2024
J.K. FINANCIAL SERVICES, INC.
March 23, 2017 - July 25, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 20, 2013 - April 29, 2016
GLOBALINK SECURITIES, INC.
July 25, 2007 - April 1, 2011
GOLD COAST SECURITIES, INC.
April 25, 2000 - September 12, 2006
NYLIFE SECURITIES LLC
January 27, 1995 - April 4, 2000
NYLIFE SECURITIES LLC
November 22, 1994 - December 13, 1994
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.K. FINANCIAL SERVICES, INC.
CRD#: 103728 / SEC#: , 8-52214
Contact information
FINRA licenses (7 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
