Alden F. 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.
Alden Fee Wong, who also goes by Alden F Wong, was a registered financial professional .
Alden is a previously registered financial professional and started their career in finance in 1990. Alden had worked at 6 firms and has passed the Series 63, Series 7, Series 53 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
March 11, 1999 - November 4, 1999
RICHMARK CAPITAL CORPORATION
December 4, 1995 - March 9, 1998
TRANSGLOBAL INVESTMENTS INC.
May 14, 1992 - December 14, 1995
PAULSON INVESTMENT COMPANY LLC
April 26, 1991 - March 23, 1992
H.J. MEYERS & CO., INC.
September 7, 1990 - December 11, 1990
WESTOK SECURITIES, INC.
March 9, 1990 - August 27, 1990
SACKS INVESTMENT COMPANY, INC.
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
RICHMARK CAPITAL CORPORATION
CRD#: 43162 / SEC#: , 8-50150
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RMC 1 CAPITAL MARKETS, INC. | HOLDING COMPANY | |
| WHITE, DOYLE MARK | SECRETARY/TREASURER, DIRECTOR | 2212634 |
Disclosures
| Regulatory Event | 8 |
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.
