FW
Frank Wong
INDEPENDENT FINANCIAL GROUP
New York, NY 10019
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CRD#: 1093400
FW
Professional summary
Frank Wong, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in New York, New York.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Frank has worked at 5 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) W WEALTH STRATAGIES, LLC POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 7 START DATE: 04/12/2000 ADDRESS: 1 Dewolf Road, Suite 103a, Old Tappan NJ 07675, United States DESCRIPTION: 100% OWNER OF DBA W WEALTH STRATEGIES LLC, USED FOR MARKETING PURPOSES. (2) TEACH AT HUNTER COLLEGE POSITION: Volunteer NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/13/2001 ADDRESS: 675 Lexington AVe., New York NY 10010, United States DESCRIPTION: PART TIME TEACHER AT HUNTER COLLEGE. (3) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/09/2000 ADDRESS: 1 Dewolf Road, Suite 103a, Old Tappan NJ 07675, United States DESCRIPTION: NJ INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (4) WWS SERVICES POSITION: Independent Contractor NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 10/05/2022 ADDRESS: 150 West 56th Street, Suite 4012, New York NY 10019, United States DESCRIPTION: Tax services for preparing tax returns. INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/09/2000 ADDRESS: 150 West 56th Street, Suite 4012, New York NY 10019, United States DESCRIPTION: Licensesd INSURANCE AGENT OFFERING LIFE, HEALTH , Medicare Supplement and LONG TERM CARE SINCE 1982. NON-INVESTMENT RELATED. 5% TIME SPENT. BUSINESS CONDUCTED AT ADDRESS OF RECORD and second office in NYC. W WEALTH STRATAGIES, LLC POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 7 START DATE: 04/12/2000 ADDRESS: 150 West 56th Street, Suite 4012, New York NY 10019, United States DESCRIPTION: (1) OWNER OF DBA W WEALTH STRATEGIES LLC OFFERING SECURITIES AND INSURANCE SERVICES SINCE 2009. INVESTMENT RELATED. 70% TIME SPENT. BUSINESS CONDUCTED AT ADDRESS OF RECORD.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Wong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Wong's 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®
CFP®
Start date: 1987
Experience
Current
November 27, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 150 West 56th Street Suite 4012, New York, NY 10019RIA
BD
CRD#: 7717
New York, NY
Current
October 31, 2017 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 150 West 56th Street Suite 4012, New York, NY 10019RIA
BD
CRD#: 7717
New York, NY
Past
November 15, 2017 - May 19, 2023
F3LOGIC, LLC
RIA
CRD#: 289863
Old Tappan, NJ
Past
October 31, 2017 - October 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
New York, NY
Past
April 13, 2011 - November 7, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
OLD TAPPAN, NJ
Past
April 13, 2011 - November 7, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
OLD TAPPAN, NJ
Past
January 20, 2010 - April 13, 2011
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEW YORK, NY
Past
May 4, 1992 - April 13, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
April 19, 1983 - May 6, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(10/31/2017)
RR
Colorado(10/31/2017)
RR
Connecticut(10/31/2017)
RR
Delaware(11/21/2017)
RR
District of Columbia(10/31/2017)
RR
Florida(10/31/2017)
RR
Georgia(10/1/2018)
RR
Maryland(10/31/2017)
RR
Massachusetts(12/8/2017)
RR
Minnesota(10/31/2017)
RR
Nevada(10/31/2017)
RR
New Jersey(10/31/2017)
IAR
New Jersey(11/28/2017)
RR
New York(10/31/2017)
IAR
New York(2/14/2021)
RR
North Carolina(10/31/2017)
RR
Ohio(8/6/2020)
RR
Pennsylvania(10/31/2017)
RR
Rhode Island(10/31/2017)
RR
South Carolina(7/16/2024)
RR
Vermont(10/31/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
