Francis K. Ong
Professional summary
Francis K Ong, who also goes by Francis Kwok Ong, is a registered financial professional currently at PACIFIC CENTURY SECURITIES, LLC located in New York, New York.
Francis is registered as a RR (Registered Representative) and started their career in finance in 1991. Francis has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, Series 3, SIE, Series 7, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Francis K Ong's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 20, 2018 - Present
PACIFIC CENTURY SECURITIES, LLC
Office #1: 747 3rd Ave #2101, New York, NY 10017May 13, 2022 - February 17, 2023
CATHAY SECURITIES, INC.
August 2, 2019 - August 1, 2022
EDDID SECURITIES USA INC.
April 21, 2015 - November 14, 2018
MML INVESTORS SERVICES, LLC
November 26, 2014 - April 21, 2015
MOMENTIX CAPITAL, INC.
January 1, 2009 - October 8, 2012
MOMENTIX CAPITAL, INC.
May 20, 2002 - December 31, 2006
SYNERGY INVESTMENT GROUP, LLC
April 4, 2001 - July 3, 2001
UNISE INVESTMENT CORP.
September 13, 1995 - March 9, 2001
MOMENTIX CAPITAL, INC.
April 11, 1991 - August 17, 1995
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
(12/3/2019)
(5/16/2023)
(4/4/2023)
(12/3/2019)
(11/20/2018)
(1/23/2023)
(6/20/2025)
(7/21/2022)
(11/20/2018)
(4/6/2023)
(12/3/2019)
(10/7/2023)
(3/1/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 7/6/2021
Securities Trader ExamSeries 79TO
Date: 8/28/2020
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
PACIFIC CENTURY SECURITIES, LLC
CRD#: 131607 / SEC#: , 8-66487
Contact information
FINRA licenses (14 States and Territories)
Red Flags
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