Voon-chung Wong

CLSA AMERICAS

San Francisco, CA 94104

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CRD#: 2733924

Professional summary

Voon-chung Wong, who also goes by Voon Wong, Voonchung Wong, is a registered financial advisor currently at CLSA AMERICAS, LLC located in San Francisco, California.

Voon-chung is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Voon-chung has worked at 6 firms and has passed the Series 66, Series 63, Series 82TO, SIE, Series 7, Series 24 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Voon Wong | Voonchung 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) - RIA

Click below to view Voon-chung Wong's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Voon-chung Wong's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 18, 2023 - Present

CLSA AMERICAS, LLC

Office #1: 345 California Street, Suite 600, San Francisco, CA 94104

RIA

CRD#: 165533

San Francisco, CA

Current

April 14, 2023 - Present

CLSA AMERICAS, LLC

Office #1: 345 California Street, Suite 600, San Francisco, CA 94104

RIA

CRD#: 165533

San Francisco, CA

Past

August 24, 2012 - October 4, 2022

MAYBANK SECURITIES USA INC.

CRD#: 27861

SAN FRANCISCO, CA

Past

February 9, 2004 - May 24, 2012

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

SAN FRANCISCO, CA

Past

May 31, 2001 - February 19, 2004

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 1, 1999 - March 16, 2001

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

April 17, 1996 - May 1, 1999

ABN AMRO ASIA INC.

CRD#: 37057

NEW YORK, NY

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.

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

California
(4/14/2023)

IAR

California
(4/18/2023)

Florida
(4/14/2023)

New York
(4/14/2023)

Texas
(4/14/2023)

Virginia
(4/14/2023)

Washington
(4/14/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/28/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/29/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 6/16/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 12

Date: 12/23/2005

NYSE Branch Manager Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CLSA AMERICAS, LLC

CRD#: 165533 / SEC#: , 8-69166

California

Registered Investment Advisory firm - SEC (1/1/2019 Approved)

Connecticut

Registered Investment Advisory firm - SEC (1/14/2019 Approved)

Texas

Registered Investment Advisory firm - SEC (1/28/2019 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036

Mailing Address

1155 Avenue Of The Americas 17th Floor, New York, NY, 10036

Phone number

(212) 549-5097

Established

Delaware since 08/15/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CLSA AMERICAS HOLDINGS, INC.	MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIE	CCO	2441597
HOLUB, WILLIAM CHARLES	BOARD MEMBER, CFO-FINOP	2680290
PARK, EDWARD	BOARD MEMBER	7550990
SCHWARTZ, BRADLEY HARRIS	BOARD MEMBER, CEO	2372237
ZHANG, HUIZI	BOARD MEMBER	8008880

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.

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Advisor Monitoring

Firm Stability Insights

Voon-chung Wong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Voon-chung Wong's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Voon-chung Wong's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLSA AMERICAS, LLC

MAYBANK SECURITIES USA INC.

NOMURA SECURITIES INTERNATIONAL, INC.

LEHMAN BROTHERS INC.

ABN AMRO INCORPORATED

ABN AMRO ASIA INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/28/2023

Series 63

Date: 4/29/1996

Series 82TO

Date: 6/16/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1996

Series 24

Date: 9/25/2023

Series 12

Date: 12/23/2005

FINRA

Investors' Exchange LLC

MEMX LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CLSA AMERICAS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CLSA AMERICAS, LLC

TRUST BUT VERIFY

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