JW
Joe C. Wong
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CRD#: 5015053
JW
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
Are you a "fiduciary"?
No
Aliases
Joe Wong
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1): AcneFree, LLC Address: 10411 Motor City Drive, Bethesda, MD, s Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 11/11/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 DOD: Owner. Managing executives of the company. (2): AMBI Enterprises LLC Address: 8980 Old Annapolis Rd suite l, Columbia, MD, s Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 12/02/2018 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 DOD: This is an LLC with 6 partners. I will be one of the partner. I will not be working in the day-to-day activities of the company. I will be on a board type structure that will govern the company. (3): Baxter of California LLC Address: 515 N La Cienega Blvd, West Hollywood, CA, 90048, s Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 01/01/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 DOD: I'm the primary owner of the company. (4): DC Custom Clothiers Address: 608 Water St, Baltimore, MD, 21202, s Activity Type: Other Position/Title: Partner Investment Related: No Start Date: 12/01/2015 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 DOD: I am the owner and my responsibilities is primary to ensure that the employees of the company executes the proper strategy of the business. (5): Friedman Wong Kafetz Group Address: 7550 Wisconsin Ave Ste 420, Bethesda, MD, s Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 05/09/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 DOD: Financial Advisor (6): Steward Partners Global Advisory Address: 600 Cleveland Street Suite 799, Clearwater, FL, 33755, s Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/09/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 DOD: Advisor (7): Steward Partners Global Advisory Address: 600 Cleveland Street Suite 799, Clearwater, FL, 33755, s Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 03/24/2015 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 DOD: Install insurance products listed (8): Steward Partners Investment Advisory LLC Address: 7550 Wisconsin Ave Ste 420, Bethesda, MD, s Activity Type: Independent RIA Position/Title: Investment Related: No Start Date: 01/14/2016 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 DOD: Financial Advisor, Wealth Manager, Financial Planning, Investment Planning
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
May 27, 2022 - January 19, 2024
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 1254
CLEARWATER, FL
Past
March 30, 2016 - January 19, 2024
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RIA
CRD#: 283004
CLEARWATER, FL
Past
June 5, 2014 - December 8, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
BETHESDA, MD
Past
May 9, 2014 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CLEARWATER, FL
Past
June 1, 2009 - May 27, 2014
MORGAN STANLEY
RIA
CRD#: 149777
ROCKVILLE, MD
Past
June 1, 2009 - May 27, 2014
MORGAN STANLEY
BD
CRD#: 149777
ROCKVILLE, MD
Past
May 23, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WASHINGTON, DC
Past
May 11, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WASHINGTON, DC
Past
October 25, 2005 - May 11, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROCKVILLE, MD
Past
October 25, 2005 - May 11, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ROCKVILLE, MD
Past
September 26, 2005 - October 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ROCKVILLE, MD
Past
September 14, 2005 - October 10, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BLAKELY, STRAND & WILLIAMS, INC. | VALENCIA GROUP | UMPQUA WEALTH ADVISORY | UMPQUA INVESTMENTS, INC. | STRAND, ATKINSON, WILLIAMS & YORK, INC. | STRAND, ATKINSON, WILLIAMS & YORK INC. | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | STEWARD PARTNERS GLOBAL ADVISORY, LLC | MILLER FORSYTH GROUP | LINDSEY GROUP | H.L. WIGINTON CAPITAL | GERGEN WEALTH MANAGEMENT | ENSIGN WEALTH PARTNERS
CRD#: 1254 / SEC#: 801-67179, 8-2915
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224
Mailing Address
15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224
Phone number
(971) 353-7800
Established
Delaware since 04/22/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
524
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.
