Yuet K. Wong
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.
Yuet Kwan Wong was a registered financial professional .
Yuet is a previously registered financial professional and started their career in finance in 1987. Yuet had worked at 6 firms and has passed the Series 63, Series 55, Series 7, Series 53, Series 27, Series 14, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2001 - March 22, 2006
FIRST HUDSON FINANCIAL GROUP, INC.
December 4, 2000 - May 13, 2003
NATIONAL SECURITIES CORPORATION
June 8, 2000 - November 8, 2000
SHARPE CAPITAL, INC.
November 4, 1997 - June 16, 2000
TUCKER ANTHONY INCORPORATED
May 1, 1997 - November 17, 1997
RYAN BECK & CO.
November 13, 1987 - December 13, 1989
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIRST HUDSON FINANCIAL GROUP, INC.
CRD#: 32926 / SEC#: , 8-41803
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WONG, YUET KWAN | PRESIDENT AND CHIEF COMPLIANCE OFFICER/ROP | |
| LMH MANAGEMENT CORP | OWNER | |
| HOES, LAWRENCE MATTHEW | MINORITY SHAREHOLDER | 1962908 |
| SIMON, MICHAEL CHARLES | CHIEF FINANCIAL OFFICER/SROP/CROP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
