Oliver H. 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.
Oliver Haung Wong, who also goes by Oliver Wong, was a registered financial professional .
Oliver is a previously registered financial professional and started their career in finance in 2005. Oliver had worked at 5 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2010 - April 11, 2012
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 2, 2009 - August 16, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
November 2, 2007 - December 19, 2007
GLEACHER & COMPANY SECURITIES, INC.
July 20, 2007 - August 10, 2007
J.P. MORGAN SECURITIES INC.
February 14, 2005 - June 2, 2006
MORGAN STANLEY DW 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
Current Firm
VOYA INVESTMENTS DISTRIBUTOR, LLC
CRD#: 37886 / SEC#: , 8-48020
Contact information
FINRA licenses (53 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.
