Chun Dok C. Wong

NI ADVISORS

San Jose, CA 95131

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CRD#: 4211694

Professional summary

Chun Dok Chris Wong is a registered financial advisor currently at NI ADVISORS located in San Jose, California.

Chun Dok is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Chun Dok has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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.

Life Time Financial & Insurance Services. 1648 Wheatley Place, San Jose, CA 95121. Annuity & Life Insurance. Sales. Since August 2005. 160 hours/month. 100 hours/month during NAI business hours. Sales of annuities and life insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chun Dok Chris Wong's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Chun Dok Chris 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®

None

Experience

Current

February 4, 2016 - Present

NI ADVISORS

Office #1: 1777 Parkview Green Circle, San Jose, CA 95131

RIA

CRD#: 134502

San Jose, CA

Current

April 13, 2010 - Present

NI ADVISORS

Office #1: 1138 Cadillac Court, Milpitas, CA 95035

RIA

CRD#: 134502

MILPITAS, CA

Past

August 13, 2008 - April 16, 2010

CETERA WEALTH SERVICES, LLC

CRD#: 13572

AMERICAN CANYON, CA

Past

May 1, 2008 - August 13, 2008

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SAN JOSE, CA

Past

October 5, 2004 - November 3, 2005

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 10, 2002 - September 29, 2004

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SACRAMENTO, CA

Past

April 12, 2002 - July 23, 2002

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

June 29, 2000 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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

California
(4/13/2010)

IAR

California
(2/4/2016)

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: 2/3/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/15/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/14/2008

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

NI ADVISORS

CRD#: 134502 / SEC#: , 8-66841

California

Registered Investment Advisory firm - SEC (5/23/2012 Approved)

Colorado

Registered Investment Advisory firm - SEC (7/29/2022 Approved)

Florida

Registered Investment Advisory firm - SEC (4/9/2024 Approved)

Massachusetts

Registered Investment Advisory firm - SEC (1/4/2023 Approved)

New Jersey

Registered Investment Advisory firm - SEC (1/11/2023 Approved)

Rhode Island

Registered Investment Advisory firm - SEC (2/11/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (2/25/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

1138 Cadillac Court, Milpitas, CA 95035-3058

Mailing Address

1138 Cadillac Court, Milpitas, CA 95035

Phone number

(510) 306-7777

Established

California since 01/01/2005

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
GOY, SUIHOCK	PRESIDENT, CFO, DIRECTOR, CHIEF COMPLIANCE OFFICER	2821380
POSTREL, HELENE BERSON	FINOP	2240945

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 3,560,000

Disclosures

Regulatory Event

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

Chun Dok C. Wong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chun Dok Chris Wong's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Chun Dok Chris Wong's CRS (Customer Relationship Summary).

Certified licenses

Experience

NI ADVISORS

CETERA WEALTH SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

PENSION PLANNERS SECURITIES, INC.

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/3/2016

Series 63

Date: 4/5/2008

SIE

Date: 10/1/2018

Series 7

Date: 1/15/2016

Series 6

Date: 3/15/2008

Series 26

Date: 8/14/2008

FINRA

Current Firm

NI ADVISORS

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NI ADVISORS

TRUST BUT VERIFY

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