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JW

James K. Wong

Some features on this profile are disabled
CRD#: 1356703
JW

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.

James Kwong Wong, who also goes by James Kwong, James Quan, Kwong K Quan, James K Wong, Kwong Wong, Quan Wong, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1985. James had worked at 11 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Kwong | James Quan | Kwong K Quan | James K Wong | Kwong Wong | Quan Wong

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 18, 2002 - August 26, 2003

MAGNA

BD
CRD#: 30935
NEW YORK CITY, NY
Past

November 8, 2001 - February 21, 2002

TFS BLACKWOOD, LLC

BD
CRD#: 113165
NEW YORK, NY
Past

January 10, 2000 - May 2, 2002

BLACKWOOD SECURITIES, LLC

BD
CRD#: 44669
NEW YORK, NY
Past

May 2, 1997 - January 1, 1999

ABSA SECURITIES, INC.

BD
CRD#: 24174
Past

February 8, 1995 - March 31, 1997

SOCIMER SECURITIES CORPORATION

BD
CRD#: 32011
MIAMI, FL
Past

March 26, 1992 - July 12, 1993

NOYES PARTNERS INCORPORATED

BD
CRD#: 10128
NEW YORK, NY
Past

January 21, 1992 - February 11, 1992

M. RIMSON & CO., INC.

BD
CRD#: 5250
NEW YORK, NY
Past

April 11, 1991 - December 21, 1991

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

February 23, 1989 - October 15, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

BD
CRD#: 2873
NEW YORK, NY
Past

February 23, 1989 - October 24, 1990

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

April 23, 1985 - February 6, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/24/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/22/1990
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/27/1989
Financial and Operations Principal Examination

Current Firm

MA
MAGNA
MAGNA | MAGNA SECURITIES CORP. | MAGNA INVESTMENT GROUP, INC.

CRD#: 30935 / SEC#: , 8-45215

BD
Terminated by SEC on 05/18/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/04/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WINANS, PATRICIA ANNCHIEF EXECUTIVE OFFICER, FINOP, MUNICIPAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER1526364
GERSHUNY, ADAM TODDDIRECT OWNER2652403

Disclosures

Regulatory Event4

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.

Company Information

MAGNA

CRD#: 30935

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