Alice W. Boote
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.
Alice Wong Boote, who also goes by Alica Wong Boote, Alice W Boote, Alice Wong K Boote, Alice Wong, was a registered financial professional .
Alice is a previously registered financial professional and started their career in finance in 1986. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2009 - December 31, 2012
A B WONG CAPITAL LLC
September 24, 2003 - June 20, 2012
A B WONG CAPITAL LLC
May 14, 1997 - November 6, 2000
U.S. SECURITIES & FUTURES CORP.
October 24, 1995 - May 20, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
August 25, 1995 - October 31, 1995
W.J. NOLAN & COMPANY, INC.
June 6, 1995 - August 7, 1995
R.D. WHITE & CO., INC.
January 18, 1995 - June 1, 1995
GOLDIS FINANCIAL GROUP, INC.
August 27, 1993 - January 30, 1995
BERKELEY SECURITIES CORPORATION
May 3, 1993 - August 31, 1993
J. GREGORY & COMPANY, INC.
April 26, 1990 - November 27, 1991
EMANUEL AND COMPANY
August 12, 1988 - April 30, 1990
ROBERT THOMAS SECURITIES, INC
July 5, 1988 - August 18, 1988
REVCON (USA) LIMITED
May 26, 1988 - July 18, 1988
RANDOLPH BROWN SECURITIES CORPORATION
January 21, 1987 - April 25, 1987
EMANUEL AND COMPANY
January 21, 1986 - March 12, 1988
PERSONAL ECONOMICS SECURITIES 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
Series 55
Date: 4/11/2003
Limited Representative-Equity Trader ExamCurrent Firm
A B WONG CAPITAL LLC
CRD#: 124360 / SEC#: , 8-65663
Contact information
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 | 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.
