William Wong

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CRD#: 4076464

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.

William Wong, who also goes by William M. Wong, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1999. William had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William M. 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 13, 2016 - February 6, 2017

KINGSVIEW WEALTH MANAGEMENT, LLC

RIA

CRD#: 148107

Granite Bay, CA

Past

February 8, 2012 - November 28, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

LODI, CA

Past

January 30, 2012 - November 28, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

LODI, CA

Past

September 3, 2008 - June 11, 2010

FORESTERS EQUITY SERVICES, INC.

RIA

CRD#: 18464

LINCOLN, CA

Past

August 20, 2008 - June 11, 2010

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

January 27, 2006 - August 16, 2006

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

May 24, 2002 - December 17, 2003

QA3 FINANCIAL LLC

RIA

CRD#: 104957

SAN JOSE, CA

Past

February 11, 2002 - December 17, 2003

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

June 26, 2000 - November 6, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 9, 1999 - April 6, 2000

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

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".

KINGSVIEW WEALTH MANAGEMENT, LLC

CRD#: 148107 / SEC#: 801-79198

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arkansas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Florida

Registered Investment Advisory firm - (2/26/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/26/2014 Terminated)

Iowa

Registered Investment Advisory firm - (2/26/2014 Terminated)

Minnesota

Registered Investment Advisory firm - (2/26/2014 Terminated)

New York

Registered Investment Advisory firm - (11/8/2013 Cancelled)

North Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Oregon

Registered Investment Advisory firm - (2/26/2014 Terminated)

South Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Virginia

Registered Investment Advisory firm - (2/26/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/18/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/21/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/28/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/26/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/23/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/8/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KINGSVIEW WEALTH MANAGEMENT, LLC

CRD#: 148107 / SEC#: 801-79198

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arkansas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Florida

Registered Investment Advisory firm - (2/26/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/26/2014 Terminated)

Iowa

Registered Investment Advisory firm - (2/26/2014 Terminated)

Minnesota

Registered Investment Advisory firm - (2/26/2014 Terminated)

New York

Registered Investment Advisory firm - (11/8/2013 Cancelled)

North Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Oregon

Registered Investment Advisory firm - (2/26/2014 Terminated)

South Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Virginia

Registered Investment Advisory firm - (2/26/2014 Terminated)

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Contact information

Main Address

509 Se 7th Street 2nd Floor, Grants Pass, OR 97526

Mailing Address

Phone number

(312) 870-6701

Established

Firm type

Fiscal year end

# of Employees

225

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KINGSVIEW 2A (2/28/2025)

Regulatory assets under management

Total Number of Accounts	24,847
AUM (Assets Under Management)	$ 6,745,495,357

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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Advisor Monitoring

Firm Stability Insights

William Wong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

FORESTERS EQUITY SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

WORLD GROUP SECURITIES, INC.

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

MORGAN STANLEY DW INC.

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

KINGSVIEW WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/2000

Series 63

Date: 1/21/2000

SIE

Date: 11/28/2015

Series 31

Date: 7/26/2000

Series 7

Date: 6/23/2000

Series 6

Date: 12/8/1999

Current Firm

KINGSVIEW WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINGSVIEW WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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