Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Wong is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Alan has been in the financial industry since 2004 and is registered with the states of Alaska, Arizona, California, Colorado, Connecticut, Delaware, Florida, Illinois, Kentucky, Maine, Maryland, Massachusetts, Nevada, New Jersey, New Mexico, New York, North Carolina, Tennessee, Texas, Utah, Virginia, Washington and Wisconsin. Alan is also licensed to provide investment advisory services in California and Texas. Alan has specialized in providing financial advice to individuals, high-net-worth individuals, corporations, businesses, pension and profit-sharing plans, insurance companies, charitable organizations and state or municipal government entities.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
10/18/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
11/04/2005 - 10/23/2006
MORGAN STANLEY & CO., INCORPORATED (SAN FRANCISCO CA)
NY
05/28/2004 - 07/12/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 07/06/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 05/27/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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