DW
Denis Y. Wong
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CRD#: 471733
DW
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.
Denis Young Wong, who also goes by Denis Y Wong, was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 1970. Denis had worked at 9 firms and has passed the Series 65, Series 66 and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Denis Y 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.
DENIS WONG & ASSOC.
1314 S. KING ST. #1153 HONOLULU, HI 96814
OWNER/PRESIDENT SINCE 1983 (Office maintained for personal administrative functions)
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®
NoneExperience
Past
January 28, 2019 - December 31, 2023
CLARAPHI ADVISORY NETWORK, LLC
RIA
CRD#: 165868
Honolulu, HI
Past
November 30, 2016 - January 25, 2019
WESTPARK CAPITAL, INC.
RIA
CRD#: 39914
Honolulu, HI
Past
November 29, 2016 - June 29, 2018
WESTPARK CAPITAL, INC.
BD
CRD#: 39914
LOS ANGELES, CA
Past
June 27, 2008 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
RIA
CRD#: 16944
HONOLULU, HI
Past
June 27, 2008 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
HONOLULU, HI
Past
July 10, 2007 - June 24, 2008
REGAL ADVISORY SERVICES, INC.
RIA
CRD#: 123842
GLENVIEW, IL
Past
July 10, 2007 - June 24, 2008
REGAL SECURITIES, INC.
BD
CRD#: 7297
HONOLULU, HI
Past
September 18, 2006 - July 11, 2007
BROOKSTREET SECURITIES CORPORATION
RIA
CRD#: 14667
HONOLULU, HI
Past
July 6, 1995 - July 11, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
HONOLULU, HI
Past
July 12, 1977 - March 24, 1995
MEYERS SECURITIES CORPORATION
BD
CRD#: 7183
ROCHESTER, NY
Past
July 23, 1971 - May 18, 1977
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
Past
March 2, 1970 - April 12, 1971
BACHE & CO INCORPORATED
BD
CRD#: 7058
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CLARAPHI ADVISORY NETWORK, LLC
ADVISORS ON CALL | WINKLER WEALTH | ULTRA FINANCIAL PLUS, LLC DBA ULTRA FINANCIAL PARTNERS, LLC | THOMAS ADVISORY SERVICES, INC. | SEELAN WEALTH STRATEGIES, LLC | SEELAN WEALTH STRATEGIES, ADVANCED TAX CONSULTING, LLC | RJF, INC. | MDR HOLDINGS, LLC | LIFE PLAN RETIREMENT PARTNERS, LLC | LEGACY WEALTH PARTNERS, LEGACY RETIREMENT GROUP | HERITAGE FINANCIAL SERVICES | HACKETT ADVISORY | H. L. DINGLE & COMPANY | GOSS & COMPANY | GLOBAL WEALTH MANAGEMENT | GF THOMAS ADVISORY GROUP | GENTRY WEALTH MANAGEMENT | FORTIFIED FUTURES, INC | FINANCIAL ARCHITECTS, INC., TAX ARTISTS | FINANCIAL & INSURANCE SERVICES | ERBC, INC. | DENIS WONG & ASSOCIATES | CLARAPHI ADVISORY NETWORK, LLC | CHADWICK FINANCIAL ADVISORS | BOWEN FINANCIAL GROUP | ANDALUS CAPITAL
CRD#: 165868 / SEC#: 801-80575
RIA
Registered Investment Advisory firm - (12/4/2014 Approved)Arizona
Registered Investment Advisory firm - (12/8/2014 Terminated)California
Registered Investment Advisory firm - (1/7/2015 Terminated)Florida
Registered Investment Advisory firm - (12/8/2014 Terminated)Idaho
Registered Investment Advisory firm - (12/31/2014 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2014 Terminated)New Jersey
Registered Investment Advisory firm - (12/11/2014 Terminated)New York
Registered Investment Advisory firm - (12/8/2014 Terminated)Tennessee
Registered Investment Advisory firm - (11/6/2014 Terminated)Texas
Registered Investment Advisory firm - (12/8/2014 Terminated)Washington
Registered Investment Advisory firm - (12/9/2014 Terminated)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
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
CA
CLARAPHI ADVISORY NETWORK, LLC
ADVISORS ON CALL | WINKLER WEALTH | ULTRA FINANCIAL PLUS, LLC DBA ULTRA FINANCIAL PARTNERS, LLC | THOMAS ADVISORY SERVICES, INC. | SEELAN WEALTH STRATEGIES, LLC | SEELAN WEALTH STRATEGIES, ADVANCED TAX CONSULTING, LLC | RJF, INC. | MDR HOLDINGS, LLC | LIFE PLAN RETIREMENT PARTNERS, LLC | LEGACY WEALTH PARTNERS, LEGACY RETIREMENT GROUP | HERITAGE FINANCIAL SERVICES | HACKETT ADVISORY | H. L. DINGLE & COMPANY | GOSS & COMPANY | GLOBAL WEALTH MANAGEMENT | GF THOMAS ADVISORY GROUP | GENTRY WEALTH MANAGEMENT | FORTIFIED FUTURES, INC | FINANCIAL ARCHITECTS, INC., TAX ARTISTS | FINANCIAL & INSURANCE SERVICES | ERBC, INC. | DENIS WONG & ASSOCIATES | CLARAPHI ADVISORY NETWORK, LLC | CHADWICK FINANCIAL ADVISORS | BOWEN FINANCIAL GROUP | ANDALUS CAPITAL
CRD#: 165868 / SEC#: 801-80575
RIA
Registered Investment Advisory firm - (12/4/2014 Approved)Arizona
Registered Investment Advisory firm - (12/8/2014 Terminated)California
Registered Investment Advisory firm - (1/7/2015 Terminated)Florida
Registered Investment Advisory firm - (12/8/2014 Terminated)Idaho
Registered Investment Advisory firm - (12/31/2014 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2014 Terminated)New Jersey
Registered Investment Advisory firm - (12/11/2014 Terminated)New York
Registered Investment Advisory firm - (12/8/2014 Terminated)Tennessee
Registered Investment Advisory firm - (11/6/2014 Terminated)Texas
Registered Investment Advisory firm - (12/8/2014 Terminated)Washington
Registered Investment Advisory firm - (12/9/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Drive Suite 585, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 215-0025
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,422 |
| AUM (Assets Under Management) | $ 382,500,156 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/27/2022 |
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.
