Cynthia M. 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.
Cynthia Ming Ling Wong was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1984. Cynthia had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2011 - May 13, 2014
1ST BRIDGEHOUSE SECURITIES, LLC
March 28, 2006 - May 22, 2009
PALI CAPITAL, INC.
August 7, 2002 - September 28, 2006
COMO SECURITIES, INC.
December 18, 1998 - September 20, 2001
CITIGROUP GLOBAL MARKETS INC.
March 26, 1994 - December 18, 1998
CITICORP SECURITIES, INC.
December 13, 1989 - February 25, 1994
PERSHING LLC
August 21, 1984 - September 25, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
1ST BRIDGEHOUSE SECURITIES, LLC
CRD#: 44655 / SEC#: , 8-50763
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1ST BRIDGEHOUSE FINANCIAL GROUP, LLC | SHAREHOLDER | |
| LANDERS, HOWARD BRIAN | CEO, FINOP, CCO | 1233612 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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