Frederick S. 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.
Frederick Siekeung Wong was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1996. Frederick had worked at 8 firms and has passed the Series 66, Series 63, Series 65, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2014 - November 9, 2023
PARADIGM FINANCIAL GROUP LLC
April 5, 2011 - September 17, 2012
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
March 31, 2011 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
May 29, 2007 - October 6, 2010
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - October 6, 2010
CITIGROUP GLOBAL MARKETS INC.
December 16, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 16, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 27, 2003 - November 18, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 13, 2003 - November 18, 2005
IDS LIFE INSURANCE COMPANY
October 13, 2003 - November 18, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
July 16, 1996 - September 4, 1998
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PARADIGM FINANCIAL GROUP LLC
CRD#: 172916 / SEC#:
Contact information
Red Flags
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