SW
Stanley Wong
CETERA INVESTMENT ADVISERS LLC
CENTRAL VALEY, NY
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CRD#: 809384
SW
Professional summary
Stanley Wong is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Central Valey, New York and CETERA ADVISORS LLC located in Central Valey, New York.
Stanley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Stanley has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 06/22/2016; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE & ANNUITIES. 2. NAME OF OTHER BUSINESS: HUDSON VALLEY MONEY TREE, INC. DBA STANLEY WONG INVESTMENTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 2006; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE SALES (LIFE INSURANCE & VARIABLE ANNUITIES). 3.NAME OF OTHER BUSINESS: PARISH OF SACRED HEART - ST. PATRICK ; INVESTMENT RELATED: NO; ADDRESS: 26 STILL RD MONROE, NY 10950; NATURE OF BUSINESS: RELIGIOUS ORGANIZATION; START DATE: 07/2023; POSITION/TITLE/RELATIONSHIP: TRUSTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP,TALK WITH PASTOR REGARDING RELIGIOUS ACTIVITIES OF CHURCH;
CRS (Client Relationship Summary) - RIA
Click below to view Stanley 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 1, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CENTRAL VALEY, NY
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Central Valey, NY
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 11, 2008 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
CENTRAL VALEY, NY
Past
November 16, 2006 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
CENTRAL VALEY, NY
Past
August 18, 2003 - December 1, 2006
OPPENHEIMER & CO. INC.
BD
CRD#: 249
FISHKILL, NY
Past
October 11, 2002 - August 26, 2003
TD WEALTH MANAGEMENT SERVICES INC.
RIA
CRD#: 6940
RAMSEY, NJ
Past
March 13, 2001 - August 26, 2003
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
PHILADELPHIA, PA
Past
November 11, 1992 - December 15, 2000
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
February 28, 1984 - October 15, 1992
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 26, 1978 - March 14, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
June 25, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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(11/13/2018)
RR
Colorado(10/3/2016)
RR
Connecticut(5/20/2021)
RR
Florida(10/24/2016)
RR
Georgia(10/3/2016)
RR
Illinois(10/3/2016)
RR
Indiana(10/3/2016)
RR
Massachusetts(10/3/2016)
RR
New Jersey(10/3/2016)
IAR
New Jersey(3/21/2024)
RR
New York(10/3/2016)
RR
North Carolina(10/3/2016)
RR
Pennsylvania(10/3/2016)
RR
South Carolina(10/3/2016)
RR
Texas(10/3/2016)
IAR
Texas(2/1/2024)
RR
Utah(11/10/2021)
RR
Vermont(10/3/2016)
RR
Virginia(10/3/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 12/4/1990
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/16/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/10/1987
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
