Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cynthia? Claim Your ProfileCynthia Wa Wong is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. in Brea, CA. Cynthia has over 29 years of experience in the financial services industry. Cynthia has held previous roles with BANC OF AMERICA INVESTMENT SERVICES, INC., NATIONSBANC MONTGOMERY SECURITIES LLC, BANCAMERICA SECURITIES, INC., and BA INVESTMENT SERVICES, INC. Cynthia has a Series 7, Series 63 and Series 65 license and is registered with the states of Arizona, California, Colorado, Florida, Idaho, Maryland, Missouri, Nevada, New Mexico, Oregon, South Carolina, Texas, Utah, and Wyoming. Cynthia specializes in providing financial planning and investment management services for individuals, businesses, and institutions.
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
06/15/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BREA CA)
CA
04/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SANTA FE SPRINGS CA)
NY
10/01/1998 - 04/12/1999
NATIONSBANC MONTGOMERY SECURITIES LLC (NEW YORK NY)
CA
03/11/1996 - 10/01/1998
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
CA
02/25/1994 - 03/11/1996
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
IA
Issued 02/14/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/1994
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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