Thomas 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.
Thomas Wong, who also goes by Thomas Wai Ming Wong, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 3, 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 5, 2018 - March 26, 2025
MILLER INVESTMENT MANAGEMENT, LP
September 16, 2008 - February 1, 2011
MORGAN STANLEY & CO. LLC
September 9, 2003 - July 8, 2008
J.P. MORGAN SECURITIES LLC
June 27, 2001 - September 3, 2003
NOMURA SECURITIES INTERNATIONAL, INC.
Primary Firm SEC Registration
MILLER INVESTMENT MANAGEMENT, LP
CRD#: 108380 / SEC#: 801-56027
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: 7/31/2001
Limited Representative-Equity Trader ExamCurrent Firm
MILLER INVESTMENT MANAGEMENT, LP
CRD#: 108380 / SEC#: 801-56027
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 307 |
| AUM (Assets Under Management) | $ 5,694,821,204 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 12/20/2024 | ||
| 10/18/2023 | ||
| 01/03/2023 |
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.
