David W. Wong

ARROWHEAD WEALTH MANAGEMENT

MODESTO, CA 95354

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CRD#: 2350036

Professional summary

David Wei Keung Wong, who also goes by David Wong, is a registered financial advisor currently at ARROWHEAD WEALTH MANAGEMENT CORP. located in Modesto, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. David has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Wong

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

self-employed driver; driving students from elementary school to their after school program. spends 1 hour a week during trading hours, 6 hours a week after trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wei Keung Wong's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 1, 2022 - Present

ARROWHEAD WEALTH MANAGEMENT CORP.

Office #1: 909 15th Street #4, Modesto, CA 95354

RIA

CRD#: 171169

MODESTO, CA

Past

November 18, 2011 - November 25, 2022

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

Foster City, CA

Past

January 2, 2009 - November 25, 2022

WEDBUSH SECURITIES INC.

CRD#: 877

SAN FRANCISCO, CA

Past

May 4, 1999 - December 31, 2008

FIRST WALL STREET CORP.

CRD#: 13024

SAN FRANCISCO, CA

Past

September 10, 1998 - May 5, 1999

TRANSGLOBAL CAPITAL CORPORATION

CRD#: 33347

WESTLAKE VILLAGE, CA

Past

March 3, 1997 - September 8, 1998

WALDRON & CO., INC.

CRD#: 868

IRVINE, CA

Past

February 1, 1995 - March 6, 1997

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Past

June 8, 1993 - August 23, 1993

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/1/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/31/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/7/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/5/1998

General Securities Principal Examination

Current Firm

ARROWHEAD WEALTH MANAGEMENT CORP.

CRD#: 171169 / SEC#:

California

Registered Investment Advisory firm - (5/21/2014 Approved)

Texas

Registered Investment Advisory firm - (2/17/2022 Conditional Restricted)

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Contact information

Main Address

909 15th St #4, Modesto, CA 95354

Mailing Address

Phone number

(415) 850-3022

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	158
AUM (Assets Under Management)	$ 27,372,644

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.

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Advisor Monitoring

Firm Stability Insights

David W. Wong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wei Keung Wong's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

FIRST WALL STREET CORP.

TRANSGLOBAL CAPITAL CORPORATION

WALDRON & CO., INC.

INTERFIRST CAPITAL CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/11/1993

SIE

Date: 10/1/2018

Series 7

Date: 1/31/1995

Series 6

Date: 6/7/1993

Series 24

Date: 6/5/1998

Current Firm

ARROWHEAD WEALTH MANAGEMENT CORP.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARROWHEAD WEALTH MANAGEMENT CORP.

TRUST BUT VERIFY

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