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SW

Shari L. Wong

REGAL SECURITIES
Amherst, NY 14228
Some features on this profile are disabled
CRD#: 1414845
SW

Professional summary

Shari Lynn Wong, who also goes by Shari Lynn VIctor, is a registered financial professional currently at REGAL SECURITIES, INC. located in Amherst, New York.

Shari is registered as a RR (Registered Representative) and started their career in finance in 1986. Shari has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shari Lynn Victor

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) - BD

Click below to view Shari Lynn Wong's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 3, 2012 - Present

REGAL SECURITIES, INC.

Office #1: 1404 Sweet Home Road Suite 12, Amherst, NY 14228
BD
CRD#: 7297
Amherst, NY
Past

July 20, 2012 - August 3, 2012

L.M. KOHN & COMPANY

BD
CRD#: 27913
CINCINNATI, OH
Past

April 11, 2005 - July 23, 2012

LEONARD & COMPANY

BD
CRD#: 36527
AMHERST, NY
Past

January 2, 2004 - October 8, 2004

LEONARD & COMPANY

BD
CRD#: 36527
TROY, MI
Past

September 4, 1998 - November 13, 2002

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

August 8, 1997 - September 4, 1998

ESSEX CAPITAL MARKETS, INC.

BD
CRD#: 11896
ROCHESTER, NY
Past

March 4, 1997 - July 17, 1997

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

July 22, 1991 - February 1, 1997

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

March 27, 1989 - July 11, 1991

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

May 30, 1986 - February 19, 1988

NORTH AMERICAN INVESTMENT CORP.

BD
CRD#: 7568
Past

March 19, 1986 - June 3, 1986

EMPIRE NATIONAL SECURITIES, INCORPORATED

BD
CRD#: 7361

State Registrations and Notice Filings

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

RR
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

RR
New York
(8/3/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 5/20/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/2/1993
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RS
REGAL SECURITIES, INC.
E-OPTION | SUCCESS TRADER | REGAL WEALTH MANAGEMENT, INC. | REGAL SECURITIES, INC. | REGAL DISCOUNT SECURITIES, INC. | REGAL DISCOUNT SECURITIES | INVESTRADE DISCOUNT SECURITIES | HEARTLAND SECURITIES, INC.

CRD#: 7297 / SEC#: , 8-21765

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025
Mailing Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025-3766
Phone number
(800) 786-9000
Established
Illinois since 05/06/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOKIOS, GEORGECHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER718774
VILLAFLOR, ROBERT FUSTERSHAREHOLDER2374555
AKSOMITAITE, SKAISTEVICE PRESIDENT AND FINOP4852873
BOKIOS, EUGENIA THEADORA MSSENIOR VICE PRESIDENT & GENERAL COUNSEL2392199
BOKIOS, VICTORIA THEADORATREASURER/SECRETARY2421318
ENGELBRECHT, JEREMY AARONCHIEF COMPLIANCE OFFICER (INTERIM)3277607
HERRIN, SHAWN EVERETTPRESIDENT2311476

Disclosures

Regulatory Event11
Arbitration4

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

REGAL SECURITIES, INC.

CRD#: 7297Amherst, NY 14228

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