Steven 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.
Steven Wong was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1998. Steven had worked at 8 firms and has passed the Series 66, Series 63, Series 55 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
October 23, 2012 - August 1, 2013
MONTCALM TCR LLC
October 4, 2012 - July 26, 2013
MUTUAL SECURITIES, INC.
June 1, 2009 - October 19, 2012
MORGAN STANLEY
June 1, 2009 - October 19, 2012
MORGAN STANLEY
April 25, 2006 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 25, 2006 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 19, 2003 - April 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 19, 2003 - April 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 3, 2001 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
July 12, 2001 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
October 28, 1999 - April 30, 2001
BMO CAPITAL MARKETS CORP.
February 8, 1999 - October 20, 1999
BANC OF AMERICA SECURITIES LLC
April 20, 1998 - February 8, 1999
WELLS FARGO SECURITIES INC.
Primary Firm SEC Registration
MONTCALM TCR LLC
CRD#: 164521 / SEC#: 801-77138
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
Series 55
Date: 5/12/2005
Limited Representative-Equity Trader ExamCurrent Firm
MONTCALM TCR LLC
CRD#: 164521 / SEC#: 801-77138
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 930 |
| AUM (Assets Under Management) | $ 223,449,930 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 |
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.
