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Fei Wang Mr.

THE VERTICAL GROUP
WESTON, FL
·CRD# 5789226·16 years experience

Professional Summary

Fei Wang MR. is a registered financial advisor currently at THE VERTICAL GROUP located in Weston, Florida. Fei is registered as a RR (Registered Representative) and started their career in finance in 2010. Fei has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

16 years in the financial services industry

Current & Past Employments

THE VERTICAL GROUP·CRD# 104353
BD
Weston, FL
January 8, 2013 - Present
CELADON FINANCIAL GROUP LLC·CRD# 36538
BD
New York, NY
December 13, 2012 - January 2, 2013
THE VERTICAL GROUP·CRD# 104353
BD
Red Bank, NJ
May 18, 2010 - December 14, 2012

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Current Firm

TV
THE VERTICAL GROUP

ATWOOD, MARKS & COMPANY, INC | THE VERTICAL TRADING GROUP, LLC | THE VERTICAL GROUP, INC. | THE VERTICAL GROUP

CRD#: 104353 / SEC#: 8-52814
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Contact Information

Main Address

130 Maple Avenue Building 5, Ph, Red Bank, NJ 07701

Mailing Address

99 Wall Street Suite 2280, New York, NY 10005

Phone Number

(212) 918-1202

Established

New York since 08/11/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (31 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
RAS HOLDINGS, LLCPARENT COMPANY—
MARTIN, THOMAS DOMINICKFINOP, GSP (12/2003), CCO (3/2016)2363939
SCHAFFER, ROBERT ANDREWCEO, EXECUTIVE REPRESENTATIVE, GSP (12/2003)2743384

Disclosures

Regulatory Event

13

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(9/2/2021)
RR
New York
(1/8/2013)
RR
Texas
(4/23/2014)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2010About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Aug 2010

Series 7 — General Securities Representative Examination

Passed May 2010About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2022About the Series 24 exam
FINRA
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Fei Wang MR.'s CRS (Customer Relationship Summary).

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