Tuen Tuen Wang
Professional Summary
Tuen Tuen Wang, who also goes by Lucy Wang, is a registered financial advisor currently at PHILLIP CAPITAL INC. located in Chicago, Illinois. Tuen Tuen is registered as a RR (Registered Representative) and started their career in finance in 2024. Tuen Tuen has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tuen Tuen Wang, Lucy Wang
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
3 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
PHILLIP CAPITAL INC. | PHILLIPCAPITAL
Contact Information
Main Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653Mailing Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653Phone Number
(312) 356-9000Established
Delaware since 04/30/2010Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (47 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(5/1/2025)
(5/7/2025)
(6/3/2025)
(5/1/2025)
(5/1/2025)
(5/16/2025)
(5/1/2025)
(5/1/2025)
(5/1/2025)
(5/7/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Tuen Tuen Wang's CRS (Customer Relationship Summary).
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