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CW

Carmen H. Wong

MESIROW FINANCIAL
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 4662541
CW

Professional summary

Carmen Han Wong, who also goes by Vang Lu, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.

Carmen is registered as a RR (Registered Representative) and started their career in finance in 2010. Carmen has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Vang Lu

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carmen Han Wong's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 16, 2021 - Present

MESIROW FINANCIAL, INC.

Office #1: 353 N. Clark Street, Chicago, IL 60654
BD
CRD#: 2764
Chicago, IL
Past

July 16, 2019 - September 1, 2020

PALAFOX TRADING LLC

BD
CRD#: 131114
MIAMI, FL
Past

July 16, 2019 - September 1, 2020

CITADEL SECURITIES LLC

BD
CRD#: 116797
MIAMI, FL
Past

July 16, 2019 - September 1, 2020

CITADEL SECURITIES INSTITUTIONAL LLC

BD
CRD#: 281102
MIAMI, FL
Past

July 16, 2019 - September 1, 2020

CITADEL CLEARING LLC

BD
CRD#: 172693
MIAMI, FL
Past

December 22, 2010 - July 12, 2019

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
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
Illinois
(3/16/2021)
RR
New York
(3/16/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/28/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/28/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/21/2010
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MF
MESIROW FINANCIAL, INC.
MESIROW & COMPANY | PEMBROKE CLEARING CORPORATION | MESIROW FINANCIAL, INC. | MESIROW CAPITAL, INC. | MESIROW & COMPANY, INCORPORATED

CRD#: 2764 / SEC#: , 8-28816

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
353 N. Clark Street, Chicago, IL 60654
Mailing Address
353 N. Clark Street, Chicago, IL 60654
Phone number
(312) 595-6000
Established
Delaware since 10/12/1982
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MESIROW FINANCIAL HOLDINGS, INC.MAJORITY SHAREHOLDER
MESIROW FINANCIAL SERVICES, INC.MINORITY SHAREHOLDER
PRICE, RICHARD SCOTTDIRECTOR367760
FARR, CHRISTOPHER DAYNECFO3239925
HAYES, MARY JO MOONCHIEF COMPLIANCE OFFICER1196353
JACOBSON, STEPHEN DAVIDSENIOR MANAGING DIRECTOR1353790
KEIG, JESSE JOSEPHDIRECTOR5268961
LEVINE, JEFFREY MICHAELCEO/PRESIDENT5627249
OAKLEY, ADAM JOELSENIOR MANAGING DIRECTOR, INVESTMENT BANKING4795934
PRICE, BRIAN DAVIDCHAIRMAN, INVESTMENT BANKING DIVISION5192466
WALDROP, TODD E.SENIOR MANAGING DIRECTOR4194147

Disclosures

Regulatory Event18
Civil Event1
Bond2

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

MESIROW FINANCIAL, INC.

CRD#: 2764Chicago, IL 60654

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