Ho 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.
Ho Chung Wong, who also goes by Hochung Wong, Joe Wong, was a registered financial professional .
Ho is a previously registered financial professional and started their career in finance in 2010. Ho had worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2021 - August 15, 2022
GROVE POINT ADVISORS, LLC
November 16, 2018 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
October 29, 2018 - August 15, 2022
GROVE POINT INVESTMENTS, LLC
April 15, 2011 - November 6, 2018
LPL FINANCIAL LLC
November 18, 2010 - November 6, 2018
LPL FINANCIAL 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GROVE POINT ADVISORS, LLC
CRD#: 313171 / SEC#: 801-56879
Contact information
Regulatory assets under management
| Total Number of Accounts | 9,556 |
| AUM (Assets Under Management) | $ 2,470,347,917 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 10/26/2023 | ||
| 02/28/2023 |
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.
