Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bertrand? Claim Your ProfileBertrand Wong has been a registered representative in the securities industry since December 1997. Bertrand currently works for Merrill Lynch, Pierce, Fenner & Smith Inc., and has been with the firm since September 2007. Previously, Bertrand worked for CITIGROUP GLOBAL MARKETS INC. and CITICORP INVESTMENT SERVICES. Bertrand has passed the Uniform Combined State Law Examination (Series 66), General Securities Principal Examination (Series 24), Securities Industry Essentials Examination (SIE), and General Securities Representative Examination (Series 7). Bertrand is registered in 17 states for securities and investment advisory services.
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
NY
09/02/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
05/29/2007 - 07/02/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/01/1997 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
BOTH
Issued 10/07/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/10/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/1997
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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