OW
Ormond Wong
REDI GLOBAL TECHNOLOGIES LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 4622557
OW
Professional summary
Ormond Wong is a registered financial professional 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.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Ormond Wong's 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®
NoneExperience
Current
June 27, 2013 - Present
REDI GLOBAL TECHNOLOGIES LLC
Office #1: 28 Liberty Street 58th Floor, New York, NY, 10005BD
CRD#: 41924
New York, NY
Past
March 25, 2008 - July 16, 2013
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
June 25, 2004 - September 18, 2007
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
October 1, 2003 - June 25, 2004
FIRST OPTIONS OF CHICAGO, INC.
BD
CRD#: 13822
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(7/18/2013)
RR
Alaska(7/19/2013)
RR
Arizona(8/20/2013)
RR
Arkansas(7/29/2013)
RR
California(7/16/2013)
RR
Colorado(7/17/2013)
RR
Connecticut(7/17/2013)
RR
Delaware(9/4/2013)
RR
District of Columbia(8/16/2013)
RR
Florida(7/15/2013)
RR
Georgia(8/14/2013)
RR
Hawaii(11/20/2013)
RR
Idaho(7/15/2013)
RR
Illinois(7/17/2013)
RR
Indiana(8/9/2013)
RR
Iowa(7/22/2013)
RR
Kansas(7/25/2013)
RR
Kentucky(7/18/2013)
RR
Louisiana(7/18/2013)
RR
Maine(8/28/2013)
RR
Maryland(7/19/2013)
RR
Massachusetts(7/17/2013)
RR
Michigan(7/31/2013)
RR
Minnesota(7/22/2013)
RR
Mississippi(7/22/2013)
RR
Missouri(8/19/2013)
RR
Montana(7/17/2013)
RR
Nebraska(7/23/2013)
RR
Nevada(8/8/2013)
RR
New Hampshire(8/12/2013)
RR
New Jersey(7/19/2013)
RR
New Mexico(8/28/2013)
RR
New York(7/18/2013)
RR
North Carolina(7/17/2013)
RR
North Dakota(9/26/2013)
RR
Ohio(7/17/2013)
RR
Oklahoma(7/19/2013)
RR
Oregon(7/23/2013)
RR
Pennsylvania(7/17/2013)
RR
Puerto Rico(8/14/2013)
RR
Rhode Island(7/11/2013)
RR
South Carolina(7/24/2013)
RR
South Dakota(7/18/2013)
RR
Tennessee(3/24/2014)
RR
Texas(7/30/2013)
RR
Utah(7/19/2013)
RR
Vermont(8/15/2013)
RR
Virgin Islands(7/29/2013)
RR
Virginia(7/17/2013)
RR
Washington(7/18/2013)
RR
West Virginia(9/16/2013)
RR
Wisconsin(7/19/2013)
RR
Wyoming(7/22/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/16/2010
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RG
REDI GLOBAL TECHNOLOGIES LLC
REDI GLOBAL TECHNOLOGIES LLC | SPEAR, LEEDS & KELLOGG SPECIALISTS LLC
CRD#: 41924 / SEC#: , 8-49673
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
28 Liberty Street 58th Floor, New York, NY, 10005
Mailing Address
28 Liberty Street 58th Floor Attn Mmaloney, New York, NY, 10005
Phone number
(646) 794-7364
Established
New York since 09/13/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 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 | 7 |
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.
