Victoria 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.
Victoria Wong, who also goes by VIcky Pierce, Victoria Pierce, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1990. Victoria had worked at 7 firms and has passed the Series 63, Series 55, Series 7 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
November 9, 2010 - May 14, 2013
CICC US SECURITIES, INC.
October 23, 1997 - November 3, 1998
CREDIT SUISSE SECURITIES (USA) LLC
July 25, 1995 - September 17, 1996
FUNDS DISTRIBUTOR, LLC
October 20, 1994 - July 24, 1995
FIRST FUND DISTRIBUTORS, INC.
November 27, 1992 - August 19, 1994
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
April 24, 1990 - December 3, 1991
IDS LIFE INSURANCE COMPANY
April 24, 1990 - December 3, 1991
AMERIPRISE FINANCIAL SERVICES, 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
Exams
Series 55
Date: 1/4/2011
Limited Representative-Equity Trader ExamCurrent Firm
CICC US SECURITIES, INC.
CRD#: 143221 / SEC#: , 8-67544
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
