Joe C. 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.
Joe C Wong, CFP®, who also goes by Joe Wong, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 2005. Joe had worked at 8 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2022 - January 19, 2024
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
March 30, 2016 - January 19, 2024
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
June 5, 2014 - December 8, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 9, 2014 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - May 27, 2014
MORGAN STANLEY
June 1, 2009 - May 27, 2014
MORGAN STANLEY
May 23, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 11, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 25, 2005 - May 11, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 2005 - May 11, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2005 - October 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
September 14, 2005 - October 10, 2005
AMERIPRISE FINANCIAL SERVICES, 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
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
