Mary M. 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.
Mary Manyee Wong, who also goes by Mary M Wong, Mary Wong, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1996. Mary had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 24, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - February 8, 2014
CETERA INVESTMENT ADVISERS LLC
March 6, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
February 24, 2013 - February 8, 2014
CETERA INVESTMENT SERVICES LLC
February 12, 2010 - June 4, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
February 12, 2010 - June 4, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
November 23, 2007 - June 26, 2009
UCB ASSET MANAGEMENT, INC.
November 15, 2007 - April 29, 2009
UCB INVESTMENT SERVICES, INC.
February 7, 2006 - August 17, 2009
UCB INVESTMENT SERVICES, INC.
July 4, 2003 - January 18, 2006
SINOPAC FINANCIAL SERVICES (USA) LTD.
July 22, 1996 - July 5, 2001
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Series 8
Date: 5/15/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
