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JW

Jack S. Wang

Some features on this profile are disabled
CRD#: 4203183
JW

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.

Jack Shyan Daw Wang, who also goes by Jack S Wang, Shyan Daw Jack Wang, was a registered financial professional .

Jack is a previously registered financial professional and started their career in finance in 2000. Jack had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jack S Wang | Shyan Daw Jack Wang

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

April 14, 2011 - December 31, 2021

J.K. FINANCIAL SERVICES, INC.

BD
CRD#: 103728
NORCO, CA
Past

February 11, 2010 - March 1, 2011

GLOBALINK SECURITIES, INC.

BD
CRD#: 29721
ARCADIA, CA
Past

May 1, 2009 - February 5, 2010

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
CITY OF INDUSTRY, CA
Past

May 1, 2009 - February 5, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CITY OF INDUSTRY, CA
Past

July 10, 2007 - March 31, 2009

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
SAN GABRIEL, CA
Past

March 30, 2007 - March 31, 2009

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
SAN GABRIEL, CA
Past

February 14, 2006 - March 30, 2007

LEGACY ADVISORY SERVICES, INC.

RIA
CRD#: 111027
SAN GABRIEL, CA
Past

January 17, 2006 - March 30, 2007

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
SAN GABRIEL, CA
Past

June 27, 2005 - January 17, 2006

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
CERRITOS, CA
Past

June 27, 2005 - January 17, 2006

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

September 4, 2002 - June 29, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LONG BEACH, CA
Past

August 30, 2002 - June 29, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 30, 2002 - June 29, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

April 12, 2002 - August 28, 2002

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

September 18, 2000 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/3/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/9/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/10/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/15/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

JF
J.K. FINANCIAL SERVICES, INC.
HUA KANG SECURITIES, INC. | J.K. FINANCIAL SERVICES, INC. | J K FINANCIAL SERVICES, INC

CRD#: 103728 / SEC#: , 8-52214

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
149 Cross Rail Lane Ste. 102, Norco, CA 92860
Mailing Address
149 Cross Rail Lane Ste 102, Norco, CA 92860
Phone number
(714) 704-1818
Established
California since 10/20/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ZHENG, JOE JIANKANGCHIEF FINANCIAL OFFICER, SROP, CROP2318835
HO, LILY MEIXIAPRESIDENT, CEO, CCO4336165

Disclosures

Regulatory Event3

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.

Company Information

J.K. FINANCIAL SERVICES, INC.

CRD#: 103728

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