Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Craig? Claim Your ProfileCraig Thomas Wong has been in the financial services industry since December 9, 1985. Currently, Craig is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., where Craig has been employed since October 2009. Previously, Craig was employed by BANC OF AMERICA INVESTMENT SERVICES, INC., BA INVESTMENT SERVICES, INC., GNA SECURITIES, INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUICO SECURITIES, INC., and SECURITY FIRST FINANCIAL, INC. Craig holds licenses in California and Texas. Craig holds the following licenses: Series 6, Series 7, Series 22, Series 63, and Series 65.
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
12/06/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ONTARIO CA)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CLAREMONT CA)
CA
05/30/1992 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
VA
01/03/1991 - 06/30/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
NY
09/17/1987 - 01/03/1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NY
09/03/1987 - 01/03/1991
EQUICO SECURITIES, INC. (NEW YORK NY)
NA
12/10/1985 - 09/08/1987
SECURITY FIRST FINANCIAL, INC.
IA
Issued 09/25/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/1991
Series 7 - General Securities Representative Examination
BC
Issued 07/14/1986
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 12/09/1985
Series 6 - Investment Company Products/Variable Contracts 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
Not sure Craig Wong is the right advisor for you? Invested Better is here to help.
