Thomas Wang
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.
Thomas Wang was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 4 firms and has passed the Series 63, SIE, Series 57, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2016 - August 25, 2017
CRITICAL TRADING, LLC
March 6, 2009 - June 28, 2013
G-2 TRADING,LLC
November 24, 2008 - January 23, 2009
SCHOTTENFELD GROUP LLC
February 13, 2001 - November 16, 2001
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 10/30/2008
Limited Representative-Equity Trader ExamCurrent Firm
CRITICAL TRADING, LLC
CRD#: 165071 / SEC#: , 8-69144
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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