Andrew S. Wang
Professional summary
Andrew Shih Wang was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Andrew had worked at 4 firms, which includes WORLD INVESTMENTS LLC, INVESTMENT ADVISORS & CONSULTANTS INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 1995 - July 9, 1997
WORLD INVESTMENTS, LLC
March 14, 1995 - May 19, 1995
INVESTMENT ADVISORS & CONSULTANTS, INC.
July 8, 1981 - May 3, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 8, 1981 - May 3, 1994
EQUITABLE ADVISORS, 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
Exams
Current Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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