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RW

Raymond Y. Wong

Some features on this profile are disabled
CRD#: 4537916
RW

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.

Raymond Yat Chi Wong was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 2002. Raymond had worked at 6 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1) Buckingham Strategic Partners; INVESTMENT RELATED, REGISTERED INVESTMENT ADVISOR, SAN JOSE, CA, VP, OPERATIONS, OVERSEES OPERATIONAL TEAMS (TRADING, CASH MANAGEMENT, NEW ACCOUNTS)THAT MANAGE THE DAY TO DAY SERVICES PROVIDED TO INDEPENDENT ADVISORS,10/23/2006, FULL-TIME HRS PER MONTH. FULL-TIME HRS PER MONTH TRADING IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF BAM ADVISOR SERVICES, LLC., THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF FORESIDE FINANCIAL SERVICES, LLC., AN UNAFFILIATED BROKER DEALER. THE ASSOCIATES IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF FORESIDE FINANCIAL SERVICES, LLC. ACTING AS THE MUTUAL FUND DISTRIBUTOR FOR THE SA FUND UNDER BAM ADVISOR SERVICES, LLC.

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

December 13, 2018 - December 3, 2024

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

RIA
CRD#: 143319
SAN MATEO, CA
Past

October 29, 2018 - September 3, 2020

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
San Jose, CA
Past

December 4, 2006 - December 13, 2018

LWI FINANCIAL INC.

RIA
CRD#: 111861
SAN JOSE, CA
Past

October 25, 2006 - October 29, 2018

LORING WARD SECURITIES INC.

BD
CRD#: 46337
San Jose, CA
Past

January 4, 2003 - October 25, 2006

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SAN FRANCISCO, CA
Past

September 9, 2002 - November 11, 2002

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
GOLD RIVER, CA
Past

July 31, 2002 - November 11, 2002

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, 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".
FP
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA
Registered Investment Advisory firm - (2/1/2007 Approved)

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
RR
IAR
Series 66
Date: 9/5/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/25/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/25/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/19/2013
Municipal Securities Principal Examination

Current Firm

FP
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA
Registered Investment Advisory firm - (2/1/2007 Approved)
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Contact information

Main Address
190 Carondelet Plaza Suite 600, St. Louis, MO 63105
Mailing Address
Phone number
(314) 725-0455
Established
Firm type
Fiscal year end
# of Employees
368

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/27/2025)
ADV PART 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts78,053
AUM (Assets Under Management)$ 32,238,330,999

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

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

CRD#: 143319

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