Chia-ying 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.
Chia-ying Wong, who also goes by Chiaying Wong, was a registered financial professional .
Chia-ying is a previously registered financial professional and started their career in finance in 1998. Chia-ying had worked at 5 firms and has passed the Series 63, Series 55, 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
July 10, 2003 - July 21, 2004
TAFFERER TRADING, LLC
April 24, 2003 - June 30, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
February 6, 2002 - July 3, 2002
SYNERGY INVESTMENT GROUP, LLC
May 4, 2000 - May 20, 2002
CYBERVEST SECURITIES INC.
August 20, 1998 - September 23, 1998
PACIFIC CONTINENTAL SECURITIES CORPORATION
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: 8/1/2003
Limited Representative-Equity Trader ExamCurrent Firm
TAFFERER TRADING, LLC
CRD#: 36816 / SEC#: , 8-47474
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLD BROTHERS INC. | HOLDING CORPORATION | |
| HOLD, GREGORY FRANCIS | CHIEF EXECUTIVE OFFICER | 2169408 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| 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.
