Victor M. Wang
Professional summary
Victor Ming Wang was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Victor is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Victor had worked at 2 firms, which includes DUKE & CO. INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 1995 - July 2, 1998
DUKE & CO., INC.
August 23, 1989 - November 20, 1989
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 6/29/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
DUKE & CO., INC.
CRD#: 8035 / SEC#: , 8-24174
Contact information
Documents
Red Flags
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