PW
Pauline Wong
KESTRA ADVISORY SERVICES
Long Beach, CA 90807
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CRD#: 6566867
PW
Professional summary
Pauline Wong, who also goes by Pauline Chingman Wong, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Long Beach, California and KESTRA INVESTMENT SERVICES, LLC located in Long Beach, California.
Pauline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Pauline has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pauline Chingman Wong
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.
Business Name: Oxford Guzman Financial Services Investment Related: Yes Address: 19112 Gridley Road Suite 230 Cerritos CA 90703 Nature of Business: Registered Field Assistant Position, Title or Relationship: Client Services Assistant Start Date: 1/1/2016 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Clerical administration and financial data collection. Business Name: Cornerstone Accounting Services Investment Related: No Address: 6647 Dashwood Street Lakewood CA 90713 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: Owner of the company Start Date: 1/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Filing individual taxes federal and state Business Name: Oxford Financial Advisors Investment Related: Yes Address: 3590 Lime Ave Long Beach CA 90807 Nature of Business: Registered Field Assistant Position, Title or Relationship: Client Services Assistant Start Date: 7/12/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: assisted in supporting account management and client servicing.
CRS (Client Relationship Summary) - RIA
Click below to view Pauline Wong's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 6, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3590 Lime Ave, Long Beach, CA 90807RIA
CRD#: 283330
Long Beach, CA
Current
January 2, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Long Beach, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(2/6/2019)
IAR
California(2/6/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
