Charles 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.
Charles Hsi Tack Wong, who also goes by Hsi Tack Wong, Hsitack Wong, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2013 - February 7, 2020
WADDELL & REED
August 16, 2013 - February 7, 2020
WADDELL & REED
April 18, 2000 - July 16, 2013
AMERITAS INVESTMENT COMPANY, LLC
March 31, 2000 - August 2, 2000
LOCUST STREET SECURITIES, INC.
July 31, 1999 - March 30, 2000
AMERITAS INVESTMENT COMPANY, LLC
February 18, 1999 - August 27, 1999
QUEST CAPITAL STRATEGIES, INC.
July 8, 1998 - January 20, 1999
VOYA FINANCIAL ADVISORS, INC.
December 9, 1996 - July 6, 1998
VOYA FINANCIAL ADVISORS, INC.
February 7, 1995 - October 8, 1996
CINCINNATI ANALYSTS, INC.
August 22, 1990 - December 31, 1992
KFS BD, INC.
September 26, 1989 - November 2, 1994
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 26, 1986 - September 1, 1988
CITIGROUP GLOBAL MARKETS INC.
July 2, 1983 - October 2, 1986
WEDBUSH SECURITIES INC.
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 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.
