Li Wen Wong Fang
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.
Li Wen Wong Fang, who also goes by Li Wen Wong, Liwen Wong, was a registered financial professional .
Li Wen is a previously registered financial professional and started their career in finance in 2021. Li Wen had worked at 2 firms and has passed the Series 63, Series 79TO, Series 52TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2023 - February 27, 2025
LINCOLN INTERNATIONAL LLC
September 3, 2021 - September 13, 2022
PNC CAPITAL MARKETS 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
Series 79TO
Date: 1/14/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 10/7/2021
Municipal Securities Representative ExaminationSeries 7TO
Date: 9/3/2021
General Securities Representative ExaminationCurrent Firm
LINCOLN INTERNATIONAL LLC
CRD#: 42045 / SEC#: , 8-49671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INTERNATIONAL, LP | SOLE MEMBER | |
| BARR, ROBERT BRUCE | MANAGING MEMBER | 720560 |
| BROWN, ROBERT TODD | CHIEF EXECUTIVE OFFICER | 3114282 |
| HAQUE, SARAH ANSARI | CHIEF COMPLIANCE OFFICER & DEPUTY GENERAL COUNSEL | 7419726 |
| KAHN, RONALD ALAN | EXECUTIVE COMMITTEE MEMBER | 1701384 |
| LAWSON, LAWRENCE JAMES III | MANAGING MEMBER, CHAIRMAN | 1081222 |
| MALCHOW, ERIC DENNIS | PRESIDENT | 2499555 |
| NELSON, JULIE ANNE | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS | 7051181 |
Disclosures
| Regulatory Event | 1 |
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.
