Patricia X. 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.
Patricia Xiuwen Wong was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2004. Patricia had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2011 - March 7, 2012
MERRIMAN CAPITAL, INC.
November 17, 2010 - October 26, 2011
WHITE OAK MERCHANT PARTNERS LLC
July 8, 2010 - September 22, 2010
WESTON FINANCIAL SERVICES LLC
April 14, 2008 - September 24, 2008
MERRIMAN CAPITAL, INC.
April 25, 2007 - August 16, 2007
MERRIMAN CAPITAL, INC.
August 20, 2004 - June 13, 2006
MERRIMAN CAPITAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MERRIMAN CAPITAL, INC.
CRD#: 18296 / SEC#: , 8-36420
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
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.
