Harry C. 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.
Harry Chuck Wong, who also goes by Harry C Wong, Harry Chuck Doon Wong, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1996. Harry had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
July 1, 2014 - June 17, 2016
VANGUARD ADVISERS, INC.
March 23, 2004 - December 21, 2011
VANGUARD ADVISERS, INC.
March 15, 2004 - March 17, 2004
VANGUARD ADVISERS, INC.
March 4, 2004 - June 17, 2016
VANGUARD MARKETING CORPORATION
September 19, 2003 - March 12, 2004
ALLSTATE FINANCIAL SERVICES, LLC
December 12, 2001 - July 24, 2003
FIRST HORIZON ADVISORS, INC.
May 18, 2001 - December 6, 2001
CAPITAL BROKERAGE CORPORATION
December 4, 1997 - May 14, 2001
IDS LIFE INSURANCE COMPANY
December 4, 1997 - May 14, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
December 10, 1996 - February 4, 1997
IDS LIFE INSURANCE COMPANY
December 10, 1996 - February 4, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
