Gregory B. 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.
Gregory Bernard Wong, who also goes by Greg Wong, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1973. Gregory had worked at 13 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2009 - December 31, 2022
SECURITIES AMERICA, INC.
November 18, 2005 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
August 12, 2002 - November 2, 2005
AMERIPRISE ADVISOR SERVICES, INC.
February 20, 2001 - February 28, 2002
MOORS & CABOT, INC.
August 22, 1996 - March 2, 2001
WELLS FARGO SECURITIES, LLC
February 20, 1991 - August 15, 1996
J.P. MORGAN SECURITIES LLC
June 26, 1984 - March 11, 1991
LEHMAN BROTHERS INC.
August 1, 1979 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 10, 1977 - August 2, 1979
DREXEL BURNHAM LAMBERT INCORPORATED
June 11, 1974 - July 22, 1977
SUTRO & CO. INCORPORATED
February 7, 1974 - July 15, 1974
THOMSON MCKINNON SECURITIES INC.
July 2, 1973 - April 8, 1974
DUPONT WALSTON, INCORPORATED
February 14, 1973 - July 2, 1973
DUPONT GLORE FORGAN INC
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 1/10/1984
AMEX Put and Call ExamSeries 1
Date: 2/8/1973
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
