Joshua J. Wong
Professional summary
Joshua Jm Wong, who also goes by Josh Wong, is a registered financial professional currently at BA SECURITIES, LLC located in New York, New York.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 2014. Joshua has worked at 5 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joshua Jm Wong's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2024 - Present
BA SECURITIES, LLC
October 16, 2023 - January 17, 2024
BRIGHTTOWER SECURITIES LLC
July 6, 2018 - March 20, 2023
JEGI LLC
September 8, 2017 - June 18, 2018
HOULIHAN LOKEY CAPITAL, INC.
November 4, 2014 - February 10, 2017
MORGAN STANLEY & CO. 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
(9/5/2025)
(11/17/2025)
(1/2/2026)
(2/23/2024)
(2/23/2024)
Exams
FINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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