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LW

Ling Wang

ENCLAVE CAPITAL LLC
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 5213858
LW

Professional summary

Ling Wang is a registered financial professional currently at ENCLAVE CAPITAL LLC located in Boca Raton, Florida.

Ling is registered as a RR (Registered Representative) and started their career in finance in 2006. Ling has worked at 8 firms and has passed the Series 63, Series 82TO, SIE, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Ling Wang'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

December 25, 2023 - Present

ENCLAVE CAPITAL LLC

Office #1: 301 Yamato Road Suite 2198, Boca Raton, FL 33431
BD
CRD#: 22732
Boca Raton, FL
Past

July 11, 2017 - September 27, 2018

KENMAR SECURITIES, LLC

BD
CRD#: 171793
NEW YORK, NY
Past

May 9, 2016 - January 6, 2017

BTIG, LLC

BD
CRD#: 122225
NEW YORK, NY
Past

December 4, 2014 - January 29, 2016

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

July 17, 2013 - December 19, 2014

CHARDAN CAPITAL MARKETS LLC

BD
CRD#: 120128
NEW YORK, NY
Past

June 17, 2011 - March 13, 2013

SUMMER STREET RESEARCH PARTNERS

BD
CRD#: 127142
NEW YORK, NY
Past

May 21, 2008 - May 25, 2011

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

October 17, 2006 - May 16, 2008

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
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
California
(12/25/2023)
RR
Massachusetts
(12/25/2023)
RR
New York
(12/25/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 12/23/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 12/23/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 10/24/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/16/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EC
ENCLAVE CAPITAL LLC
BELTONE ENCLAVE SECURITIES | KNG (USA) - ENCLAVE | KLITZBERG ENCLAVE | HRA CAPITAL | ENCLAVE SECURITIES | ENCLAVE CAPITAL, L.L.C. | ENCLAVE CAPITAL LLC | CRIPPLE CREEK SECURITIES, L.L.C. | CRIPPLE CREEK SECURITIES CO. | CAJ CO.

CRD#: 22732 / SEC#: , 8-39592

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

Main Address
301 Yamato Road Suite 2198, Boca Raton, FL 33431
Mailing Address
301 Yamato Road Suite 2198, Boca Raton, FL 33431
Phone number
(646) 454-8600
Established
Delaware since 05/31/1995
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MAZZEO, ROBERT LOUIS IIMANAGING MEMBER/CEO2460221
DUMONT, SUSAN ELIZABETHCCO2346501
VITTOR, GREG TODDFINOP, PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER1864219

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

ENCLAVE CAPITAL LLC

CRD#: 22732Boca Raton, FL 33431

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