Jimmy S. Wong

JSW GLOBAL CAPITAL GROUP

FRESNO, CA 93710

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CRD#: 1403316

Professional summary

Jimmy Siuyan Wong, CFP®, who also goes by Jim Wong, is a registered financial advisor currently at JSW GLOBAL CAPITAL GROUP located in Fresno, California and LPL FINANCIAL LLC located in Fresno, California.

Jimmy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Jimmy has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim 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.

(1) 05/01/2024 - IVORY GLOBAL CAPITAL GROUP - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 03/01/1990 (2) 05/01/2024 - Rental Property - Real Estate Rental - Investment Related - Fresno, CA - Start Date 07/02/2013 - Time Spent 2% (3) 05/07/2024 - IVORY GLOBAL CAPITAL GROUP - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 3/1/1990 - 75 Hours Per Month/ 3 Hours During Trading - I provide investment advisory services through IVORY GLOBAL CAPITAL GROUP, an independent investment advisor firm. I started this business activity in 3/1990. I expect to spend approximately 75 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (4) 05/07/2024 - IVORY GLOBAL CAPITAL GROUP - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 3/1/1990 - 75 Hours Per Month/ 3 Hours During Trading 5) 04/09/2025 - JSW GLOBAL CAPITAL GROUP - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date: 01/01/2025 - DBA for LPL Business - 5 Hours Per Month/ 1 Hours During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jimmy Siuyan Wong's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

March 30, 1990 - Present

JSW GLOBAL CAPITAL GROUP

Office #1: 1300 E. Shaw Ave. #130, Fresno, CA 93710

RIA

CRD#: 136295

FRESNO, CA

Current

May 1, 2024 - Present

LPL FINANCIAL LLC

Office #1: 1318 E Shaw Avenue Ste 305-b, Fresno, CA 93710

RIA

CRD#: 6413

Fresno, CA

Past

January 20, 2009 - May 1, 2024

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

FRESNO, CA

Past

December 26, 2008 - February 2, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

January 3, 2005 - December 31, 2008

EPLANNING SECURITIES, INC.

CRD#: 46000

FRESNO, CA

Past

March 31, 1999 - December 31, 2004

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

November 7, 1989 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

September 13, 1989 - June 17, 1992

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

April 4, 1988 - November 7, 1989

VALUE EQUITIES CORPORATION

CRD#: 13316

Past

November 20, 1985 - April 19, 1988

ASSOCIATED SECURITIES CORP.

CRD#: 12969

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(3/30/1990)

California
(5/1/2024)

Colorado
(8/14/2024)

Florida
(8/26/2024)

Idaho
(10/1/2024)

Indiana
(9/10/2024)

Montana
(8/14/2024)

Nevada
(5/1/2024)

North Carolina
(9/27/2024)

Texas
(5/1/2024)

Virginia
(5/1/2024)

Washington
(7/12/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/8/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/8/1986

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

JSW GLOBAL CAPITAL GROUP

IVORY GLOBAL CAPITAL GROUP | WONG, JIMMY SIU-YAN | JSW GLOBAL CAPITAL GROUP

CRD#: 136295 / SEC#:

California

Registered Investment Advisory firm - (3/30/1990 Approved)

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Contact information

Main Address

1318 E. Shaw Ave. #305, Fresno, CA 93710

Mailing Address

Phone number

(559) 225-1306

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 1,593,672

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Jimmy S. Wong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jimmy Siuyan Wong's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

CROWN CAPITAL SECURITIES, L.P.

SECURITIES AMERICA, INC.

EPLANNING SECURITIES, INC.

MUTUAL SERVICE CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

VALUE EQUITIES CORPORATION

ASSOCIATED SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/8/1990

SIE

Date: 10/1/2018

Series 7

Date: 11/16/1985

Series 24

Date: 7/8/1986

FINRA

Current Firm

JSW GLOBAL CAPITAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JSW GLOBAL CAPITAL GROUP

TRUST BUT VERIFY

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