Nicholas Wong
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.
Nicholas Wong, who also goes by Nick Wong, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2003. Nicholas had worked at 3 firms and has passed the 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
May 19, 2008 - September 29, 2017
RESOURCE SECURITIES LLC
July 7, 2005 - May 27, 2008
J.P. MORGAN SECURITIES INC.
September 24, 2003 - June 17, 2005
CREDIT SUISSE SECURITIES (USA) LLC
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
RESOURCE SECURITIES LLC
CRD#: 133022 / SEC#: , 8-66669
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAI VENTURES LLC | SOLE SHAREHOLDER | |
| BLOCK, LAWRENCE STEVEN | PRESIDENT, CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 3006613 |
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.
