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KW

King L. Wong

Some features on this profile are disabled
CRD#: 2653781
KW

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.

King L Wong, who also goes by King Leung Wong, was a registered financial professional .

King is a previously registered financial professional and started their career in finance in 1995. King had worked at 11 firms and has passed the Series 65, Series 63, Series 62, Series 79TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

King Leung 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 11, 2018 - December 15, 2025

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

October 11, 2018 - December 15, 2025

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 23, 2013 - September 24, 2018

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

August 23, 2013 - September 24, 2018

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

January 30, 2013 - September 4, 2013

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
NEW YORK, NY
Past

January 30, 2013 - September 4, 2013

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

June 1, 2009 - February 13, 2013

MORGAN STANLEY

RIA
CRD#: 149777
PURCHASE, NY
Past

June 1, 2009 - February 13, 2013

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

September 10, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PURCHASE, NY
Past

September 10, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PURCHASE, NY
Past

April 25, 2006 - September 11, 2006

OSAIC WEALTH, INC.

BD
CRD#: 23131
WEST ORANGE, NJ
Past

February 3, 2005 - April 19, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
FLUSHING, NY
Past

November 19, 2004 - April 19, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
FLUSHING, NY
Past

July 31, 2002 - November 19, 2004

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

February 15, 2002 - July 29, 2002

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

February 12, 1997 - February 5, 2002

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

April 18, 1996 - December 18, 1996

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

October 9, 1995 - February 8, 1996

AMERICORP SECURITIES, INC.

BD
CRD#: 30405
NEW YORK, NY

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".
CITIGROUP GLOBAL MARKETS INC.
CITIGROUP GLOBAL MARKETS INC.
CAPITAL MANAGEMENT DIVISION | TRAK FOR MUTUAL FUND AT NET ASSET VALUE | TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS | SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE | SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED | SMITH BARNEY SHEARSON INC. | SMITH BARNEY INC. | SMITH BARNEY ASSET MANAGEMENT | SMITH BARNEY | SB ADVISOR | SALOMON SMITH BARNEY INC. | SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM | PORTFOLIO MANAGEMENT GROUP | PEACHTREE ASSET MANAGEMENT | OFFSHORE TRAK | MYFI FINANCIAL WELLNESS PROGRAM | LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES | INVESTMENT MANAGEMENT SERVICES | INVESTMENT ADVISORY SERVICES | INVESTMENT ADVISORS | INSTITUTIONAL SERVICES | GUIDED PORTFOLIO MANAGEMENT PROGRAM | FIRST MADISON ADVISORS | FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM | FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM | DIVERSIFIED STRATEGIC PORTFOLIOS | DAVIS SKAGGS INVESTMENT MANAGEMENT | CONSULTING AND EVALUATION SERVICES | CITIGROUP GLOBAL MARKETS INC. | CITIGROUP ASSET MANAGEMENT | CITI PRIVATE BANK | CITI PERSONAL WEALTH MANAGEMENT | CITI PERSONAL INVESTMENTS INTERNATIONAL | CITI INVESTMENT MANAGEMENT | CITI INSTITUTIONAL CONSULTING | CITI GLOBAL WEALTH AT WORK

CRD#: 7059 / SEC#: 801-3387, 8-8177

RIA
Registered Investment Advisory firm - SEC (2/23/1964 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/2/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/23/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/18/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/6/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/17/2011
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/25/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/2002
General Securities Principal Examination

Current Firm

CITIGROUP GLOBAL MARKETS INC.
CITIGROUP GLOBAL MARKETS INC.
CAPITAL MANAGEMENT DIVISION | TRAK FOR MUTUAL FUND AT NET ASSET VALUE | TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS | SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE | SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED | SMITH BARNEY SHEARSON INC. | SMITH BARNEY INC. | SMITH BARNEY ASSET MANAGEMENT | SMITH BARNEY | SB ADVISOR | SALOMON SMITH BARNEY INC. | SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM | PORTFOLIO MANAGEMENT GROUP | PEACHTREE ASSET MANAGEMENT | OFFSHORE TRAK | MYFI FINANCIAL WELLNESS PROGRAM | LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES | INVESTMENT MANAGEMENT SERVICES | INVESTMENT ADVISORY SERVICES | INVESTMENT ADVISORS | INSTITUTIONAL SERVICES | GUIDED PORTFOLIO MANAGEMENT PROGRAM | FIRST MADISON ADVISORS | FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM | FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM | DIVERSIFIED STRATEGIC PORTFOLIOS | DAVIS SKAGGS INVESTMENT MANAGEMENT | CONSULTING AND EVALUATION SERVICES | CITIGROUP GLOBAL MARKETS INC. | CITIGROUP ASSET MANAGEMENT | CITI PRIVATE BANK | CITI PERSONAL WEALTH MANAGEMENT | CITI PERSONAL INVESTMENTS INTERNATIONAL | CITI INVESTMENT MANAGEMENT | CITI INSTITUTIONAL CONSULTING | CITI GLOBAL WEALTH AT WORK

CRD#: 7059 / SEC#: 801-3387, 8-8177

RIA
Registered Investment Advisory firm - SEC (2/23/1964 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
388 Greenwich Street Tower Building, New York, NY 10013
Mailing Address
Registration Department 540 Crosspoint Parkway, Getzville, NY 14068
Phone number
(212) 816-6000
Established
New York since 10/15/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,903

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CITIGROUP GLOBAL MARKETS INC. INVESTMENT ADVISORY PROGRAMS (1/5/2026)
CITIGROUP GLOBAL MARKETS, INC. ALTERNATIVE INVESTMENTS PLATFORM (7/16/2025)
CITIGROUP GLOBAL MARKETS INC. AND CITI PRIVATE BANK FINANCIAL PLANNING SERVICES (3/27/2025)
CITIGROUP GLOBAL MARKETS INC. CITI WEALTH BUILDER PROGRAM (3/27/2025)
FINANCIAL PLANNING SERVICES FOR CITI PERSONAL WEALTH MANAGEMENT CLIENTS (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
CITIGROUP FINANCIAL PRODUCTS INC.100% SHAREHOLDER
BARRATT, CHRISTOPHERCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER (FINOP)5659131
CHIRICO, JOHN ADIRECTOR2916366
COLE, ROBERT JAMESCHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESS6439548
CONWAY, JOHN JAMESPRINCIPAL FINANCIAL OFFICER (INTERIM)1584619
DHOUIBI, STEPHANIE ANISSADIRECTOR7189271
KLEIN, ROBERT FRANCISCO-GENERAL COUNSEL2937015
MESHEL, ADAM REIDCO-GENERAL COUNSEL3101145
RICHARDSON, CYRUS BEGLEY IIICHIEF COMPLIANCE OFFICER5284855
VAROUS, DINADIRECTOR/CEO/PRESIDENT/CHAIRWOMAN5012034

Regulatory assets under management

Total Number of Accounts56,879
AUM (Assets Under Management)$ 46,870,946,575

Disclosures

Regulatory Event588
Civil Event3
Arbitration642

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/28/2025
Cover Page
Report
02/28/2024
Cover Page
Report

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.

Company Information

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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