Lok Kei Kelvin 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.
Lok Kei Kelvin Wong, who also goes by Kelvin Wong, Kelvin Wong, was a registered financial professional .
Lok Kei Kelvin is a previously registered financial professional and started their career in finance in 2012. Lok Kei Kelvin had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2018 - April 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 8, 2018 - April 20, 2021
TD AMERITRADE, INC.
March 6, 2018 - April 20, 2021
TD AMERITRADE, INC.
April 25, 2016 - March 12, 2018
SCOTTRADE INVESTMENT MANAGEMENT
January 28, 2016 - March 12, 2018
SCOTTRADE, INC.
September 29, 2015 - February 3, 2016
BANCWEST INVESTMENT SERVICES, INC.
September 29, 2015 - February 3, 2016
BANCWEST INVESTMENT SERVICES, INC.
January 21, 2014 - September 17, 2015
CETERA INVESTMENT ADVISERS LLC
January 8, 2014 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
August 26, 2013 - September 17, 2015
CETERA INVESTMENT SERVICES LLC
October 1, 2012 - August 26, 2013
J.P. MORGAN SECURITIES LLC
August 22, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
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 7TO
Date: 10/28/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
