Brenda K. 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.
Brenda Kit Hing Wong was a registered financial professional .
Brenda is a previously registered financial professional and started their career in finance in 1994. Brenda had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2005 - January 23, 2017
DBS VICKERS SECURITIES (USA) INC.
May 1, 2001 - June 9, 2004
J.P. MORGAN SECURITIES INC.
March 19, 2001 - May 1, 2001
JPMSI
January 11, 1994 - March 19, 2001
ROBERT FLEMING INC.
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
DBS VICKERS SECURITIES (USA) INC.
CRD#: 35691 / SEC#: , 8-46837
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DBS VICKERS SECURITIES HOLDINGS PTE LTD (FORMERLY VICKERS BALLAS HOLDINGS LIMITED) | NEW PARENT COMPANY - A/O 9/12/2001 100% OWNER, A/0 10/01/01 CONSOLIDATED REPORTING | |
| MARRONE, MICHAEL THOMAS | FINOP/PFO/POO | 4859949 |
| MCCABE, THOMAS JOSEPH | DIRECTOR ON BOARD OF DIRECTORS DBSV USA (& MANAGING DIRECTOR OF DBS BANK - LOS ANGELES | 2333611 |
| TANG, YEW CHOONG | DIRECTOR ON BOARD OF DIRECTORS DBSV USA (& CEO OF DBSV SINGAPORE PTE LTD) | 7462745 |
| YU, ELAINE YEELING | CEO / CCO / DIRECTOR ON BOARD OF DIRECTORS OF DBSV USA | 2246528 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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