Steven K. Wang
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.
Steven Kris Wang, who also goes by Steve Wang, Steven K Wang, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2014 - December 31, 2021
QUALIVEST ADVISORS, LLC
April 28, 2014 - August 12, 2014
CETERA INVESTMENT ADVISERS LLC
February 24, 2014 - August 12, 2014
CETERA INVESTMENT SERVICES LLC
March 25, 1993 - July 13, 2012
SOGOTRADE, INC.
July 10, 1991 - June 28, 1993
QUEST CAPITAL STRATEGIES, INC.
May 25, 1989 - April 10, 1992
UNITED ASIAN SECURITIES CORPORATION
December 16, 1988 - January 2, 1989
MARSHALL DAVIS, INC.
October 19, 1988 - January 2, 1989
AMERICAN FRONTEER FINANCIAL CORPORATION
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
Current Firm
QUALIVEST ADVISORS, LLC
CRD#: 173505 / SEC#:
Contact information
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.
