Wayne R. Wong

SEACREST WEALTH MANAGEMENT

SAN FRANCISCO, CA 94111

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CRD#: 3090301

Professional summary

Wayne Ray Wong, CFP® is a registered financial advisor currently at SEACREST WEALTH MANAGEMENT, LLC located in San Francisco, California and PURSHE KAPLAN STERLING INVESTMENTS located in San Francisco, California.

Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Wayne has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Ray Wong's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

May 27, 2022 - Present

SEACREST WEALTH MANAGEMENT, LLC

Office #1: 505 Montgomery Street, San Francisco, CA 94111

RIA

CRD#: 147092

SAN FRANCISCO, CA

Current

June 7, 2022 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 505 Montgomery St. 11th Floor, San Francisco, CA 94111

CRD#: 35747

San Francisco, CA

Past

August 25, 2010 - June 3, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Palo Alto, CA

Past

August 25, 2010 - June 3, 2022

MORGAN STANLEY

CRD#: 149777

Palo Alto, CA

Past

November 29, 1999 - August 26, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OAKLAND, CA

Past

October 27, 1999 - August 26, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OAKLAND, CA

Past

July 27, 1999 - October 5, 1999

MORGAN STANLEY DEAN WITTER ONLINE INC.

CRD#: 34925

SAN FRANCISCO, CA

Past

April 15, 1999 - August 17, 1999

ALAMO CAPITAL

CRD#: 26193

WALNUT CREEK, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA

Registered Investment Advisory firm - (5/12/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(6/30/2023)

IAR

California
(5/27/2022)

California
(6/7/2022)

Colorado
(6/30/2023)

Florida
(6/7/2022)

Idaho
(1/6/2025)

Mississippi
(6/30/2023)

Montana
(6/30/2023)

New Jersey
(6/7/2022)

New York
(6/7/2022)

Oregon
(6/30/2023)

Pennsylvania
(1/6/2025)

Texas
(6/7/2022)

Washington
(6/30/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/31/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/21/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/10/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA

Registered Investment Advisory firm - (5/12/2008 Approved)

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Contact information

Main Address

3000 Westchester Avenue Suite 206, Purchase, NY 10577

Mailing Address

Phone number

(914) 502-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEACREST WEALTH MANAGEMENT, LLC DISCLOSURE BROCHURE (10/23/2025)

Regulatory assets under management

Total Number of Accounts	3,945
AUM (Assets Under Management)	$ 1,561,182,425

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.

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Firm Stability Insights

Wayne R. Wong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Ray Wong's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DEAN WITTER ONLINE INC.

ALAMO CAPITAL

Primary Firm SEC Registration

SEACREST WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/1999

Series 63

Date: 3/31/1999

SIE

Date: 10/1/2018

Series 31

Date: 12/21/2010

Series 7

Date: 2/10/1999

FINRA

Current Firm

SEACREST WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEACREST WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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