Amanda C. Wang
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.
Amanda Chia Hui Wang, who also goes by Chia Hui Amanda Wang, was a registered financial professional .
Amanda is a previously registered financial professional and started their career in finance in 2004. Amanda had worked at 3 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2007 - August 29, 2012
GRIFFINEST ASIA SECURITIES, LLC
November 2, 2005 - March 30, 2007
UBS SECURITIES LLC
January 1, 2004 - May 9, 2005
GOLDMAN SACHS & CO. 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
GRIFFINEST ASIA SECURITIES, LLC
CRD#: 132187 / SEC#: , 8-66571
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 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.
