RW
Robert D. Wong
CAPITAL WEALTH ALLIANCE
Scottsdale, AZ 85255
Some features on this profile are disabled
CRD#: 2508357
RW
Professional summary
Robert D Wong, who also goes by Rob Douglas Wong, Robert Douglas Wong, is a registered financial advisor currently at CAPITAL WEALTH ALLIANCE, LLC located in Scottsdale, Arizona and KINGSWOOD CAPITAL PARTNERS, LLC located in Scottsdate, Arizona.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Douglas Wong | Robert Douglas 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.
1) RDW & ASSOCIATES, INC., SCOTTSDALE, AZ, 10/16/2006 TO PRESENT -SUPPORT COMPANY/DBA (OWNER) - S CORP FOR Capital Wealth Holdings and Affiliates for BUSINESS AND PAYMENT OF BILLS - 0 HOURS PER MONTH - 0 HOURS DURING TRADING HOURS - NOT INVESTMENT RELATED. 2) Capital Wealth Holdings LLC. Address: Scottsdale, AZ Nature of the Business: Business Owner Position/Title: Partner Investment Related: No Start Date: 07/11/2018 Hours per month devoted to this business: 15 Hours per month devoted to this business during trading hours: 0 Description of duties: managing member of LLC. 3) Capital Wealth Alliance, LLC - Address: Scottsdale, AZ Nature of the Business: Business Owner - Position/Title: Partner Investment Related: No - Start Date: 10/01/2018 - Hours per month devoted to this business: 120 - Hours per month devoted to this business during trading hours: 100 - Description of duties: CCO and IAR 4) Capital Wealth Insurance LLC - No - 17015 N Scottsdale Rd Ste 250, Scottsdale AZ 85255 - Insurance - Partner & Agent - 10/2/18 - 5hrs/mo - 5hrs/mo during trading hrs - Insurance agent & managing partner
CRS (Client Relationship Summary) - RIA
Click below to view Robert D 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®
NoneExperience
Current
October 4, 2018 - Present
CAPITAL WEALTH ALLIANCE, LLC
Office #1: 17015 North Scottsdale Road Suite 250, Scottsdale, AZ 85255RIA
CRD#: 298257
Scottsdale, AZ
Current
October 1, 2018 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 17015 N. Scottsdale Road Suite 250, Scottsdate, AZ 85255BD
CRD#: 288898
Scottsdate, AZ
Past
October 24, 2012 - October 3, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SCOTTSDALE, AZ
Past
March 1, 2002 - October 3, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SCOTTSDALE, AZ
Past
May 11, 1998 - March 11, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 30, 1997 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
BD
CRD#: 260
DALLAS, TX
Past
September 26, 1994 - June 20, 1997
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CW
CAPITAL WEALTH ALLIANCE, LLC
CAPITAL WEALTH ALLIANCE | TDC FINANCIAL, LLC | NEXT CHAPTER ADVISORY GROUP, LLC | CAPITAL WEALTH ALLIANCE, LLC
CRD#: 298257 / SEC#: 801-113992
RIA
Registered Investment Advisory firm - (9/13/2018 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/1/2018)
IAR
Arizona(10/9/2018)
RR
California(10/2/2018)
RR
New Jersey(10/1/2018)
RR
New York(10/1/2018)
RR
Pennsylvania(10/1/2018)
RR
South Dakota(12/7/2022)
IAR
Texas(10/4/2018)
RR
Wisconsin(10/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/22/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CW
CAPITAL WEALTH ALLIANCE, LLC
CAPITAL WEALTH ALLIANCE | TDC FINANCIAL, LLC | NEXT CHAPTER ADVISORY GROUP, LLC | CAPITAL WEALTH ALLIANCE, LLC
CRD#: 298257 / SEC#: 801-113992
RIA
Registered Investment Advisory firm - (9/13/2018 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
17015 North Scottsdale Road Suite 250, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 948-7590
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 881 |
| AUM (Assets Under Management) | $ 220,462,774 |
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.
