Ormond Wong
Professional Summary
Ormond Wong is a registered financial advisor currently at REDI GLOBAL TECHNOLOGIES LLC located in New York, New York. Ormond is registered as a RR (Registered Representative) and started their career in finance in 2003. Ormond has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
REDI GLOBAL TECHNOLOGIES LLC | SPEAR, LEEDS & KELLOGG SPECIALISTS LLC
Contact Information
Main Address
28 Liberty Street 58th Floor, New York, NY, 10005Mailing Address
28 Liberty Street 58th Floor Attn Mmaloney, New York, NY, 10005Phone Number
(646) 794-7364Established
New York since 09/13/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | — |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(7/18/2013)
(7/19/2013)
(8/20/2013)
(7/29/2013)
(7/16/2013)
(7/17/2013)
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(9/4/2013)
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(8/28/2013)
(7/19/2013)
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(7/31/2013)
(7/22/2013)
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(7/23/2013)
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(8/12/2013)
(7/19/2013)
(8/28/2013)
(7/18/2013)
(7/17/2013)
(9/26/2013)
(7/17/2013)
(7/19/2013)
(7/23/2013)
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(7/11/2013)
(7/24/2013)
(7/18/2013)
(3/24/2014)
(7/30/2013)
(7/19/2013)
(8/15/2013)
(7/29/2013)
(7/17/2013)
(7/18/2013)
(9/16/2013)
(7/19/2013)
(7/22/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2010SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ormond Wong's CRS (Customer Relationship Summary).
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