Yuet Kwan Wong
Professional Summary
Yuet Kwan Wong was a registered financial advisor. Yuet was a previously registered financial professional and started their career in finance 1987 - 2006. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST HUDSON FINANCIAL GROUP, INC. | SHARPE SECURITIES | NATIONAL BROKERAGE, INC.
Contact Information
Established
New York since 08/11/1989Firm Type
CorporationFiscal Year End
SeptemberDocuments
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
6Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2000About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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