William W. Ong
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.
William W Ong was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 6 firms and has passed the Series 63, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2012 - January 2, 2013
B. RILEY & CO., LLC
July 14, 2011 - January 27, 2012
TICONDEROGA SECURITIES LLC
June 1, 2009 - June 29, 2011
MERRIMAN CAPITAL, INC.
April 16, 2003 - December 22, 2008
BROADPOINT AMTECH, INC.
October 1, 1997 - March 9, 1999
BANC OF AMERICA SECURITIES LLC
April 7, 1997 - October 1, 1997
MONTGOMERY SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
B. RILEY & CO., LLC
CRD#: 40355 / SEC#: , 8-49016
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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