Richard Wong
Professional summary
Richard Wong is a registered financial professional currently at COLONIAL SECURITIES, INC. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Wong's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 18, 1995 - 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
(4/22/2013)
(4/22/2013)
(6/7/2013)
(4/22/2013)
(4/22/2013)
(4/22/2013)
(8/14/1996)
(7/13/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional 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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