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David Michael Wong

Nomura Securities International, Inc.

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About David Michael Wong

David Wong is a financial professional with over 20 years of experience in the industry. David has worked with several financial institutions, including Merrill Lynch, PaineWebber, and UBS Warburg. Currently, David is a registered representative for Nomura Securities International, Inc. where David provides research-related services.

Firm Information

David Wong is currently registered with Nomura Securities International, Inc.. Nomura Securities International, Inc. is a corporation formed in 1969 and headquartered in New York, NY. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They offer research-related services and publish periodicals. Their clients include other investment advisors.
Nomura Securities International, Inc.

WORLD WIDE PLAZA

NEW YORK, NY 10019-7316

Not reported

Assets Under Management

1

Total Clients

78

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.

check

research-related services

Research-related services

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.

check

other

Negotiated fees for research-related services

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David Wong’s Registration & Firm History

NY

09/08/2021 - Present

Nomura Securities International, Inc. (NEW YORK NY)

NY

03/12/2019 - 08/06/2020

INSTINET, LLC (NEW YORK NY)

NY

10/01/2007 - 12/04/2018

WELLS FARGO SECURITIES, LLC (NEW YORK NY)

MO

11/12/2003 - 10/01/2007

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

MA

08/27/2001 - 08/05/2003

STATE STREET RESEARCH INVESTMENT SERVICES, INC. (BOSTON MA)

NY

11/03/2000 - 04/09/2001

UBS WARBURG LLC (NEW YORK NY)

NJ

02/15/2000 - 11/03/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

06/06/1998 - 02/01/2000

NEEDHAM & COMPANY, INC. (NEW YORK NY)

NY

12/20/1996 - 05/12/1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/24/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/30/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/13/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 06/11/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/19/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Michael Wong.
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