Darwin T. 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.
Darwin Tak Wong, who also goes by Darwin T Wong, Darwin Wong, was a registered financial professional .
Darwin is a previously registered financial professional and started their career in finance in 1997. Darwin had worked at 16 firms and has passed the Series 66, 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, 2009 - October 31, 2017
ALLSTATE FINANCIAL SERVICES, LLC
November 18, 2008 - April 28, 2009
STATE FARM VP MANAGEMENT CORP.
November 21, 2006 - August 7, 2008
HSBC SECURITIES (USA) INC.
March 31, 2004 - May 27, 2005
BNY INVESTMENT CENTER INC.
July 30, 2003 - November 17, 2003
ESSEX NATIONAL SECURITIES, LLC
July 2, 2003 - November 17, 2003
ESSEX NATIONAL SECURITIES, LLC
December 11, 2000 - October 8, 2001
UBS FINANCIAL SERVICES INC.
June 27, 2000 - September 11, 2000
CHASE INVESTMENT SERVICES CORP.
May 4, 2000 - June 5, 2000
CITICORP INVESTMENT SERVICES
May 12, 1999 - September 15, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 12, 1999 - September 15, 1999
EQUITABLE ADVISORS, LLC
January 14, 1999 - March 29, 1999
IDS LIFE INSURANCE COMPANY
January 14, 1999 - March 29, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
August 4, 1998 - February 19, 1999
GLOBALINK SECURITIES, INC.
June 4, 1998 - August 13, 1998
W.J. NOLAN & COMPANY, INC.
September 2, 1997 - June 5, 1998
U.S. SECURITIES & FUTURES CORP.
May 16, 1997 - September 9, 1997
CONTINENTAL BROKER-DEALER CORP.
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
