William 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.
William Wong, who also goes by Willie Wong, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1991. William had worked at 8 firms and has passed the Series 66, Series 63, Series 3, Series 7, Series 4 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
May 23, 2002 - October 1, 2003
BROOKSTREET SECURITIES CORPORATION
January 15, 2002 - October 1, 2003
BROOKSTREET SECURITIES CORPORATION
June 28, 1999 - October 12, 2001
PACIFIC AMERICAN SECURITIES, LLC
February 22, 1999 - June 28, 1999
ZA ASSOCIATES, INC.
May 7, 1996 - February 19, 1999
VANGUARD CAPITAL
January 11, 1994 - April 12, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - November 19, 1993
CITIGROUP GLOBAL MARKETS INC.
July 13, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
May 17, 1991 - July 13, 1992
KIDDER, PEABODY & CO. INCORPORATED
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
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
