Randy J. Wong
Professional summary
Randy Juen Man Wong, who also goes by Randy J Wong, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Costa Mesa, California.
Randy is registered as a RR (Registered Representative) and started their career in finance in 2000. Randy has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Randy Juen Man Wong's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2016 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 1525 Mesa Verde Dr E Ste 107, Costa Mesa, CA 92626-5221February 8, 2012 - September 16, 2015
SORRENTO PACIFIC FINANCIAL, LLC
November 1, 2010 - September 16, 2015
CUSO FINANCIAL SERVICES, L.P.
May 2, 2009 - June 1, 2009
CHASE INVESTMENT SERVICES CORP.
May 3, 2005 - May 2, 2009
WAMU INVESTMENTS, INC.
April 2, 2003 - February 26, 2004
MIDAS SECURITIES, LLC
October 11, 2000 - March 17, 2003
EQUITRADE 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
(3/15/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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
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