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SW

Sunny C. Wong

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CRD#: 4707981
SW

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.

Sunny Chen Wong, who also goes by Sunny Wong, was a registered financial professional .

Sunny is a previously registered financial professional and started their career in finance in 2003. Sunny had worked at 2 firms and has passed the Series 44 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sunny Wong

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)

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

August 13, 2010 - June 28, 2013

ALEXANDRIA CAPITAL PARTNERS, L.P.

BD
CRD#: 154585
DOYLESTOWN, PA
Past

September 26, 2003 - May 18, 2010

GROUP ONE TRADING LLC

BD
CRD#: 37484
CHICAGO, IL

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

General Industry/Product Exam
RR
Series 44
Date: 7/21/2005
PCX Market Maker Exam

Current Firm

AC
ALEXANDRIA CAPITAL PARTNERS, L.P.
ALEXANDRIA CAPITAL PARTNERS, L.P.

CRD#: 154585 / SEC#: , 8-68650

BD
Terminated by SEC on 08/27/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 06/08/2010
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FAYEK, OUSAMA NOSHEYPARTNER4711186
FRINZI, SCOTT CHARLESPARTNER
HASHEM, TAMIR (NMN)PARTNER5508439
HEWSON, JOHN PRITCHARDCHIEF COMPLIANCE OFFICER5301626
IPPOLDO, ROBERT JUSTINPARTNER
WONG, SUNNY CHENPARTNER
ALEXANDRIA CAPITAL MANAGEMENT, LLCGENERAL PARTNER

Disclosures

Regulatory Event2

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

ALEXANDRIA CAPITAL PARTNERS, L.P.

CRD#: 154585

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