Benedict C. Wong

WELLS FARGO INVESTMENT INSTITUTE

CHARLOTTE, NC 28202-4200

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CRD#: 2918253

Professional summary

Benedict Chi-hin Wong, who also goes by Benedict C Wong, Benedict Chihin Wong, is a registered financial advisor currently at WELLS FARGO INVESTMENT INSTITUTE, INC. located in Charlotte, North Carolina.

Benedict is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Benedict has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benedict C Wong | Benedict Chihin Wong

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benedict Chi-hin Wong's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 9, 2021 - Present

WELLS FARGO INVESTMENT INSTITUTE, INC.

Office #1: 550 S Tryon St 40th Floor, Charlotte, NC 28202-4200

RIA

CRD#: 133204

CHARLOTTE, NC

Past

August 23, 2002 - June 18, 2004

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

CHARLOTTE, NC

Past

August 10, 1998 - June 18, 2004

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

January 27, 1998 - August 12, 1998

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 6, 1997 - November 18, 1997

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WELLS FARGO INVESTMENT INSTITUTE, INC.

CRD#: 133204 / SEC#: 801-64191

RIA

Registered Investment Advisory firm - (5/13/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(12/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/31/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/18/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/4/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/28/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/17/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/7/2001

General Securities Principal Examination

Current Firm

WELLS FARGO INVESTMENT INSTITUTE, INC.

CRD#: 133204 / SEC#: 801-64191

RIA

Registered Investment Advisory firm - (5/13/2005 Approved)

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Contact information

Main Address

550 South Tryon Street 40th Floor, Charlotte, NC 28202

Mailing Address

Phone number

(314) 354-5814

Established

Firm type

Fiscal year end

# of Employees

233

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EQUITY OPTIMIZATION, FIXED INCOME STRATEGIES TEAM, OPTION STRATEGIES GROUP (7/1/2025)

FORM ADV PART 2A - GMR GIS GPM GSR GAA (7/1/2025)

Regulatory assets under management

Total Number of Accounts	14,594
AUM (Assets Under Management)	$ 40,817,738,378

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
12/13/2023	Cover Page	Report
02/17/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Benedict C. Wong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benedict Chi-hin Wong's CRS (Customer Relationship Summary).

Certified licenses

Experience

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

LEGG MASON WOOD WALKER, INCORPORATED

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

WELLS FARGO INVESTMENT INSTITUTE, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/2021

Series 63

Date: 7/31/1997

Series 7

Date: 2/18/1998

Series 6

Date: 8/4/1997

Series 4

Date: 12/28/2001

Series 53

Date: 8/17/2001

Series 24

Date: 3/7/2001

Current Firm

WELLS FARGO INVESTMENT INSTITUTE, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO INVESTMENT INSTITUTE, INC.

TRUST BUT VERIFY

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