Jerry 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.
Jerry Wong, who also goes by Wai Shing Wong, was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1997. Jerry had worked at 4 firms and has passed the Series 63, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2011 - August 25, 2014
GE CAPITAL MARKETS, INC.
August 3, 2005 - March 1, 2007
EHY SECURITIES (USA), LLC
September 10, 2002 - February 4, 2003
COMMERZ MARKETS LLC
January 7, 1997 - September 11, 2002
DEUTSCHE BANK SECURITIES INC.
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
GE CAPITAL MARKETS, INC.
CRD#: 13349 / SEC#: , 8-29149
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
