WW
Walter T. Wong
KEEFE, BRUYETTE & WOODS
New York, NY 10019
Some features on this profile are disabled
CRD#: 1546031
WW
Professional summary
Walter Toon Wong, who also goes by Walter T Wong, is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in New York, New York.
Walter is registered as a RR (Registered Representative) and started their career in finance in 1994. Walter has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Walter T 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.
CRS (Client Relationship Summary) - BD
Click below to view Walter Toon 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®
NoneExperience
Current
May 18, 2004 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 787 7th Ave. 4th & 5th Floors, New York, NY 10019BD
CRD#: 481
New York, NY
Past
March 22, 1999 - May 24, 2004
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
BD
CRD#: 10485
NEW YORK, NY
Past
June 8, 1994 - March 5, 1999
SMBC NIKKO SECURITIES AMERICA, INC.
BD
CRD#: 28602
NEW YORK, NY
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
Alaska(6/1/2004)
RR
Arizona(2/7/2020)
RR
California(5/18/2004)
RR
Colorado(5/18/2004)
RR
Connecticut(5/18/2004)
RR
Delaware(5/18/2004)
RR
District of Columbia(1/2/2013)
RR
Florida(4/18/2012)
RR
Georgia(4/18/2012)
RR
Illinois(4/18/2012)
RR
Kansas(5/18/2004)
RR
Maryland(11/3/2021)
RR
Massachusetts(5/18/2004)
RR
Minnesota(5/12/2009)
RR
Missouri(12/1/2011)
RR
New Hampshire(2/5/2025)
RR
New Jersey(5/18/2004)
RR
New Mexico(4/18/2012)
RR
New York(5/18/2004)
RR
North Carolina(10/10/2025)
RR
Ohio(5/18/2004)
RR
Pennsylvania(5/18/2004)
RR
Rhode Island(1/9/2013)
RR
South Dakota(1/2/2013)
RR
Texas(4/18/2012)
RR
Utah(6/6/2011)
RR
Virginia(6/16/2015)
RR
Washington(1/31/2012)
RR
Wisconsin(4/18/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 887-7777
Established
New York since 06/11/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 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.
