Felix N. Ong
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.
Felix N Ong II, who also goes by Felix N Ong, Felix Ong II, Felix Ong, was a registered financial professional .
Felix is a previously registered financial professional and started their career in finance in 2013. Felix had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2016 - April 28, 2020
TD AMERITRADE, INC.
September 7, 2016 - April 28, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 7, 2016 - April 28, 2020
TD AMERITRADE, INC.
April 25, 2014 - August 18, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 17, 2013 - August 18, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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