Katty Wong
Professional summary
Katty Wong, who also goes by Siu Ling Wong, is a registered financial professional currently at FIRSTRADE SECURITIES INC. located in Flushing, New York.
Katty is registered as a RR (Registered Representative) and started their career in finance in 1995. Katty has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 11 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katty Wong's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 24, 1995 - Present
FIRSTRADE SECURITIES INC.
Office #1: 30-50 Whitestone Expressway Suite A301, Flushing, NY 11354State 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 11
Date: 10/23/1995
Assistant Representative-Order Processing Qualification ExamFINRA
Current Firm
FIRSTRADE SECURITIES INC.
CRD#: 16843 / SEC#: , 8-34642
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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