AW
Alice Wong
WELLS FARGO SECURITIES
San Francisco, CA 94105
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CRD#: 3076767
AW
Professional summary
Alice Wong, who also goes by Alice Yam Hong Wong, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in San Francisco, California.
Alice is registered as a RR (Registered Representative) and started their career in finance in 2002. Alice has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alice Yam Hong 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.
CRS (Client Relationship Summary) - BD
Click below to view Alice Wong's 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®
NoneExperience
Current
April 10, 2014 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 333 Market Street, San Francisco, CA 94105BD
CRD#: 126292
San Francisco, CA
Past
January 3, 2011 - April 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN FRANCISCO, CA
Past
January 3, 2011 - April 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN FRANCISCO, CA
Past
December 11, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SAN FRANCISCO, CA
Past
December 11, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
June 9, 2008 - August 26, 2008
LPL FINANCIAL LLC
RIA
CRD#: 6413
NORTH HIGHLANDS, CA
Past
September 18, 2007 - August 26, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
NORTH HIGHLANDS, CA
Past
May 9, 2005 - September 13, 2007
SECU BROKERAGE SERVICES
BD
CRD#: 19899
CITRUS HEIGHTS, CA
Past
February 5, 2003 - April 20, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
January 15, 2002 - February 5, 2003
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(4/10/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WF
WELLS FARGO SECURITIES, LLC
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC
CRD#: 126292 / SEC#: , 8-65876
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
Mailing Address
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Phone number
(314) 875-3286
Established
Delaware since 03/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 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.
