Rong-ji Wei
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.
Rong-ji Wei, who also goes by Frank Wei, was a registered financial professional .
Rong-ji is a previously registered financial professional and started their career in finance in 2001. Rong-ji had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2014 - May 12, 2015
NI ADVISORS
August 5, 2011 - November 9, 2012
NI ADVISORS
October 14, 2008 - September 23, 2009
WORLD GROUP SECURITIES, INC.
February 14, 2006 - November 13, 2006
UCB INVESTMENT SERVICES, INC.
February 6, 2002 - February 3, 2006
EDWARD JONES
July 10, 2001 - November 16, 2001
METROPOLITAN LIFE INSURANCE COMPANY
July 10, 2001 - November 16, 2001
MSI FINANCIAL SERVICES, INC.
May 30, 2001 - July 26, 2001
WMA SECURITIES, INC.
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
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
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.
