David Y. Fong
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.
David Yau Fong was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2010 - January 19, 2012
SYMPHONIC SECURITIES LLC
September 2, 1999 - May 21, 2009
AVANTAX INVESTMENT SERVICES, INC.
December 20, 1997 - August 24, 1999
WMA SECURITIES, INC.
December 21, 1992 - December 20, 1995
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SYMPHONIC SECURITIES LLC
CRD#: 139512 / SEC#: , 8-67220
Contact information
Documents
Red Flags
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