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EW

Elliot Wong

DELOITTE CORPORATE FINANCE LLC
CHARLOTTE, NC 28202-4200
Some features on this profile are disabled
CRD#: 5172768
EW

Professional summary

Elliot Wong, who also goes by Elliot G Ming Wong, Elliot G-ming Wong, is a registered financial professional currently at DELOITTE CORPORATE FINANCE LLC located in Charlotte, North Carolina.

Elliot is registered as a RR (Registered Representative) and started their career in finance in 2007. Elliot has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elliot G Ming Wong | Elliot G-Ming 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Elliot Wong's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 5, 2019 - Present

DELOITTE CORPORATE FINANCE LLC

Office #1: 650 S. Tryon Street Suite 1800, Charlotte, NC 28202-4200
BD
CRD#: 111747
CHARLOTTE, NC
Past

September 25, 2007 - September 23, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/19/2019)
RR
Arizona
(2/20/2025)
RR
Arkansas
(2/20/2025)
RR
California
(8/5/2019)
RR
Connecticut
(1/28/2021)
RR
Florida
(6/12/2020)
RR
Illinois
(8/5/2019)
RR
Kentucky
(5/11/2022)
RR
Massachusetts
(8/6/2019)
RR
Minnesota
(8/27/2019)
RR
New York
(8/5/2019)
RR
North Carolina
(8/5/2019)
RR
Texas
(8/5/2019)
RR
Utah
(5/11/2022)
RR
Wisconsin
(7/28/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 5/23/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/5/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/11/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DC
DELOITTE CORPORATE FINANCE LLC
DELOITTE & TOUCHE CORPORATE FINANCE LLC | DELOITTE CORPORATE FINANCE LLC

CRD#: 111747 / SEC#: , 8-53196

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
111 S. Wacker Drive, Chicago, IL 60606-4301
Mailing Address
111 S. Wacker Drive, Chicago, IL 60606-4301
Phone number
(213) 688-6560
Established
Delaware since 01/02/2001
Firm type
Limited Liability Company
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DELOITTE CORPORATE FINANCE HOLDING LLCPARENT (SOLE MEMBER OF LLC)
FLANIGAN, KEVAN KARLCHIEF COMPLIANCE OFFICER4374936
FRAME, WILLIAM HAMILTON PURVISCHIEF EXECUTIVE OFFICER4377290
RYAN, PATRICK JOSEPHCHIEF FINANCIAL OFFICER / FINOP4701737

Disclosures

Regulatory Event3

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.

Company Information

DELOITTE CORPORATE FINANCE LLC

CRD#: 111747Charlotte, NC 28202-4200

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