Alice Wong Boote
Professional Summary
Alice Wong Boote, who also goes by Alica Wong Boote, Alice W Boote, Alice Wong K Boote, Alice Wong, was a registered financial advisor. Alice was a previously registered financial professional and started their career in finance 1986 - 2012. Alice had worked at 13 firms and has passed the Series 65, Series 63, Series 87, Series 55, Series 7, Series 27, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alica Wong Boote, Alice W Boote, Alice Wong K Boote, Alice Wong
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
A B WONG CAPITAL LLC
Contact Information
Established
New York since 10/21/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A B WONG HOLDING LLC | OWNER -MEMBER | — |
| BOOTE, ALICE WONG | FINANCIAL PRINCIPLE,CCO | 1266568 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Apr 2005About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2003Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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