Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Wong is a financial advisor with Wells Fargo Securities, LLC. Alice has been in the industry since 2002 and holds the Series 7, 63, 66, 24, 14, and 99TO licenses. Alice has been registered with Wells Fargo Securities, LLC since 2014. Alice has previously worked at Wells Fargo Advisors, LLC, Wells Fargo Investments, LLC, LPL Financial Corporation, XCU Capital Corporation, Inc., Citigroup Investment Services, and Cal Fed Investments. Alice is registered in California.
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.
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.
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2
CA
04/10/2014 - Present
Wells Fargo Securities, LLC (SAN FRANCISCO CA)
CA
01/03/2011 - 04/14/2014
WELLS FARGO ADVISORS, LLC (SAN FRANCISCO CA)
CA
12/11/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
09/18/2007 - 08/26/2008
LPL FINANCIAL CORPORATION (NORTH HIGHLANDS CA)
CA
05/09/2005 - 09/13/2007
XCU CAPITAL CORPORATION, INC. (CITRUS HEIGHTS CA)
NY
02/05/2003 - 04/20/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
01/15/2002 - 02/05/2003
CAL FED INVESTMENTS (SACRAMENTO CA)
BOTH
Issued 06/06/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/12/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/21/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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