Corinna 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.
Corinna Kwok Wong, who also goes by Corinna Kwok, Wanwah Kwok, was a registered financial professional .
Corinna is a previously registered financial professional and started their career in finance in 1996. Corinna had worked at 10 firms and has passed the Series 63, SIE, Series 3 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
June 24, 2025 - January 5, 2026
STONECASTLE SECURITIES, LLC
March 2, 2016 - August 30, 2022
NATIXIS SECURITIES AMERICAS LLC
August 27, 2013 - March 21, 2016
MORGAN STANLEY & CO. LLC
January 15, 2013 - May 24, 2013
WESTPAC CAPITAL MARKETS LLC
September 24, 2009 - July 22, 2010
SG AMERICAS SECURITIES, LLC
June 15, 2005 - May 4, 2009
BANC OF AMERICA SECURITIES LLC
June 11, 2002 - April 12, 2005
LEHMAN BROTHERS INC.
January 16, 2001 - June 5, 2002
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
January 7, 1998 - December 22, 1998
GOLDMAN SACHS & CO. LLC
March 12, 1996 - November 7, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
STONECASTLE SECURITIES, LLC
CRD#: 131211 / SEC#: , 8-66434
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONECASTLE PARTNERS, LLC | SOLE MEMBER | |
| HOLMEN, ROBERT CHRISTOPHER | PRESIDENT, CCO | 2919060 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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