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CW

Chun-nee R. Wong

REGAL SECURITIES
Amherst, NY 14228
Some features on this profile are disabled
CRD#: 1048800
CW

Professional summary

Chun-nee Robert Wong, who also goes by C N Robert Wong, Chun Nee Robert Wong, Chunee Robert Wong, Chunnee Robert Wong, Doc Wong, is a registered financial professional currently at REGAL SECURITIES, INC. located in Amherst, New York.

Chun-nee is registered as a RR (Registered Representative) and started their career in finance in 1982. Chun-nee has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

C N Robert Wong | Chun Nee Robert Wong | Chunee Robert Wong | Chunnee Robert Wong | Doc Wong

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Chun-nee Robert Wong's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 26, 2020 - Present

REGAL SECURITIES, INC.

Office #1: 1404 Sweet Home Road Suite 12, Amherst, NY 14228
BD
CRD#: 7297
Amherst, NY
Past

January 4, 2006 - December 31, 2006

KEY INVESTMENT SERVICES LLC

RIA
CRD#: 136300
DUNKIRK, NY
Past

January 3, 2006 - May 31, 2019

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
DUNKIRK, NY
Past

October 18, 1999 - December 31, 2005

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
DUNKIRK, NY
Past

May 14, 1999 - December 31, 2005

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
DUNKIRK, NY
Past

December 5, 1996 - May 14, 1999

KEY INVESTMENTS INC.

BD
CRD#: 15873
CLEVELAND, OH
Past

November 3, 1992 - November 7, 1996

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

August 15, 1990 - September 24, 1992

NETWORK 1 FINANCIAL SECURITIES INC.

BD
CRD#: 13577
RED BANK, NJ
Past

September 1, 1988 - August 15, 1990

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

June 27, 1986 - June 25, 1988

NORTH AMERICAN INVESTMENT CORP.

BD
CRD#: 7568
Past

July 7, 1983 - July 9, 1986

EMPIRE NATIONAL SECURITIES, INCORPORATED

BD
CRD#: 7361
Past

June 29, 1982 - June 15, 1983

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(10/8/2024)
RR
Florida
(9/3/2020)
RR
Maryland
(5/23/2025)
RR
New York
(6/8/2020)
RR
North Carolina
(11/10/2025)
RR
Pennsylvania
(10/9/2024)
RR
South Carolina
(7/6/2020)
RR
Virginia
(5/19/2025)
RR
Washington
(5/19/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/19/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/6/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/1993
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/8/1985
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RS
REGAL SECURITIES, INC.
E-OPTION | SUCCESS TRADER | REGAL WEALTH MANAGEMENT, INC. | REGAL SECURITIES, INC. | REGAL DISCOUNT SECURITIES, INC. | REGAL DISCOUNT SECURITIES | INVESTRADE DISCOUNT SECURITIES | HEARTLAND SECURITIES, INC.

CRD#: 7297 / SEC#: , 8-21765

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025
Mailing Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025-3766
Phone number
(800) 786-9000
Established
Illinois since 05/06/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOKIOS, GEORGECHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER718774
VILLAFLOR, ROBERT FUSTERSHAREHOLDER2374555
AKSOMITAITE, SKAISTEVICE PRESIDENT AND FINOP4852873
BOKIOS, EUGENIA THEADORA MSSENIOR VICE PRESIDENT & GENERAL COUNSEL2392199
BOKIOS, VICTORIA THEADORATREASURER/SECRETARY2421318
ENGELBRECHT, JEREMY AARONCHIEF COMPLIANCE OFFICER (INTERIM)3277607
HERRIN, SHAWN EVERETTPRESIDENT2311476

Disclosures

Regulatory Event11
Arbitration4

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.

Company Information

REGAL SECURITIES, INC.

CRD#: 7297Amherst, NY 14228

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