David Wong
Professional summary
David Wong is a registered financial professional currently at COLONIAL SECURITIES, INC. located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 1 firm and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Wong's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 26, 1993 - Present
COLONIAL SECURITIES, INC.
Office #1: 80 Bowery Room 603, New York, NY 10013-4689Office #2: 80 Bowery Room 603, New York, NY 10013-4689State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/1/1994)
(1/28/2002)
(1/29/2002)
(1/12/2011)
(1/5/2011)
(10/11/1994)
(6/25/2013)
(10/6/1994)
(1/6/2011)
(6/1/1995)
(9/28/1994)
(3/11/2011)
(5/17/2013)
(3/9/2017)
(11/5/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
COLONIAL SECURITIES, INC.
CRD#: 3013 / SEC#: , 8-17631
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 11 |
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