Wesley Wang
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.
Wesley Wang, who also goes by Wes Wang, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 1993. Wesley had worked at 10 firms and has passed the Series 63, Series 7TO, Series 3, SIE, Series 7, Series 55 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
July 12, 2022 - March 6, 2024
BGC FINANCIAL, L.P.
January 20, 2022 - April 8, 2022
MAGEN FINANCIAL LLC
February 6, 2017 - December 6, 2019
TRADITION SECURITIES AND DERIVATIVES LLC
February 5, 2015 - December 16, 2016
MAREX CAPITAL MARKETS INC.
June 29, 2012 - August 21, 2012
PPG WEST LLC
August 5, 2005 - July 24, 2010
PHOENIX DERIVATIVES GROUP, LLC
December 5, 2002 - July 25, 2005
JAVELIN SECURITIES, LLC
April 1, 2002 - December 9, 2002
INTER-DEALER BROKERS LLC
March 19, 2001 - January 24, 2002
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 23, 1997 - March 20, 2001
BGC FINANCIAL, L.P.
October 25, 1994 - November 15, 1994
WESTON CAPITAL MARKETS INC.
July 9, 1993 - November 23, 1994
BGC FINANCIAL, L.P.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 9/6/2002
Limited Representative-Equity Trader ExamCurrent Firm
BGC FINANCIAL, L.P.
CRD#: 19801 / SEC#: , 8-39012
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
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.
