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Andy Wong

Nasdaq Execution Services, LLC

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About Andy Wong

Andy Wong is a financial professional with over 20 years of experience in the securities industry. Andy is currently registered with Nasdaq Execution Services, LLC. Andy has a strong background in options trading, having held a Series 4 license since 2007. Andy is also a licensed General Securities Principal with Series 24 since 2006. Andy is currently registered in New York and Pennsylvania.

Firm Information

Andy Wong is currently registered with Nasdaq Execution Services, LLC. Nasdaq Execution Services, LLC is a Limited Liability Company formed in November 1997. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the District of Columbia. The firm has 10 regulatory events on file.

Not reported

Assets Under Management

Not reported

Total Clients

36

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Andy Wong’s Registration & Firm History

PA

03/08/2007 - Present

Nasdaq Execution Services, LLC (PHILADELPHIA PA)

NY

05/17/2007 - 04/11/2014

NASDAQ OPTIONS SERVICES, LLC (NEW YORK NY)

NJ

07/14/2000 - 04/04/2006

TD WATERHOUSE INVESTOR SERVICES, INC. (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 10/06/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/25/2007

Series 4 - Registered Options Principal Examination

BC

Issued 03/21/2006

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/26/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/13/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, 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

Disclosures

There are no public disclosures for Andy Wong.
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