Arthur C. Wang
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.
Arthur Chunghsin Wang, who also goes by Arthur C Wang, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1998. Arthur had worked at 2 firms and has passed the Series 63 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
September 30, 1999 - March 27, 2000
BROOKFIELD SECURITIES, INC.
November 5, 1998 - November 9, 1999
THOMAS GREEN 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
BROOKFIELD SECURITIES, INC.
CRD#: 42313 / SEC#: , 8-49793
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIU, LILY | SHAREHOLER/SECRETARY | 3100002 |
| LIN, KOU TARNG | SHAREHOLDER | 2830693 |
| GAO, LUCY | SHAREHOLDER | |
| LIU, SHIHCHUNG | SHAREHOLDER | 2414954 |
| LIU, SHIHCHUNG | PRESIDENT/GENERAL COMPLIANCE | 2414954 |
| LIU, SHIHCHUNG | MARKETING/ADVERTISING DIRECTOR | 2414954 |
| LIU, SHIHCHUNG | SALES MANAGER | 2414954 |
| LIU, SHIHCHUNG | OPERATIONS OFFICER | 2414954 |
| TANG, PETER C | CHIEF FINANCIAL OFFICER | 3060785 |
| YUAN, LEEJU CHIU | SROP | 2996661 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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