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KW

Ka Tat Wong

EDDID SECURITIES USA
Central,
Some features on this profile are disabled
CRD#: 7067212
KW

Professional summary

Ka Tat Wong, who also goes by Carter Wong, is a registered financial professional currently at EDDID SECURITIES USA INC. .

Ka Tat is registered as a RR (Registered Representative) and started their career in finance in 2019. Ka Tat has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 24 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carter 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ka Tat Wong's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 2, 2019 - Present

EDDID SECURITIES USA INC.

Office #1: 21/f, Citic Tower 1 Tim Mei Avenue, Central
BD
CRD#: 299423
Central,

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/8/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 3/8/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/3/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/27/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/26/2022
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

ES
EDDID SECURITIES USA INC.
EDDID SECURITIES USA INC.

CRD#: 299423 / SEC#: , 8-70253

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 Wall Street Suite 1606, New York, NY 10005
Mailing Address
40 Wall Street Suite 1606, New York, NY 10005
Phone number
(212) 363-6888
Established
Delaware since 10/26/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EDDID INTERNATIONAL FINANCIAL HOLDINGS LIMITEDSOLE SHAREHOLDER
LI, HIU FAICHIEF EXECUTIVE OFFICER5514667
SUNG, JIMMYCCO & FINOP2364515
TSANG, MAN KAIPRINCIPAL OPERATIONS OFFICER (POO)7181186

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.

Company Information

EDDID SECURITIES USA INC.

CRD#: 299423Central

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