Wesley Y. Chong
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.
Wesley Yuk Wo Chong, who also goes by Wesley Yw Chong, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 1987. Wesley had worked at 8 firms and has passed the Series 63, SIE, Series 82, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2017 - December 12, 2017
CABOT LODGE SECURITIES LLC
July 18, 2011 - July 14, 2017
WILBANKS SECURITIES, INC.
December 16, 2008 - August 31, 2009
INDEPENDENT FINANCIAL GROUP, LLC
January 23, 2008 - December 17, 2008
EPLANNING SECURITIES, INC.
April 24, 1997 - January 29, 2008
SECURITIES AMERICA, INC.
January 9, 1989 - October 29, 1997
CETERA WEALTH SERVICES, LLC
January 4, 1988 - October 24, 1988
CHRISTOPHER WEIL & COMPANY, INC
March 20, 1987 - January 15, 1988
UR FINANCIAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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