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Gene Sam Wong

Wedbush Securities Inc.

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About Gene Sam Wong

Gene Sam Wong is a registered representative with Wedbush Securities Inc. and has been in the securities industry since December 10, 1986. Gene has held previous roles at UBS Financial Services Inc., Piper Jaffray & Co., U.S. Bancorp Investments, Inc., U.S. Bancorp Securities, Puget Sound Securities, Inc., Bateman Eichler, Hill Richards, Incorporated, and Boettcher & Company, Inc.. Gene is a registered investment advisor in Washington and has passed the Series 63, Series 65, Series 7, Series 52 and SIE exams. Gene's specializations include financial planning, pension consulting, educational seminars, selection of other advisers, and portfolio management for businesses and individuals.

Firm Information

Gene Wong is currently registered with Wedbush Securities Inc.. Wedbush Securities Inc. is a corporation formed in 1966 and headquartered in Los Angeles, California. The firm provides financial planning, pension consulting, and educational seminars, in addition to portfolio management services for individuals, businesses, and other investment advisors. They operate in all 50 states and are registered with the SEC and all 52 state securities regulators. With over 500 registered representatives and approximately $1 billion - $10 billion in assets under management, Wedbush Securities Inc. is a well-established firm serving a diverse client base.
Wedbush Securities Inc.

ATTN: COMPLIANCE DEPT.

LOS ANGELES, CA 90017

$5.74B

Assets Under Management

Not reported

Total Clients

369

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Gene Wong’s Registration & Firm History

WA

08/27/2009 - Present

Wedbush Securities Inc. (SEATTLE WA)

WA

08/12/2006 - 09/01/2009

UBS FINANCIAL SERVICES INC. (SEATTLE WA)

WA

11/16/1998 - 08/12/2006

PIPER JAFFRAY & CO. (SEATTLE WA)

MN

09/03/1997 - 11/16/1998

U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)

OR

01/19/1993 - 09/03/1997

U.S. BANCORP SECURITIES (PORTLAND OR)

WA

06/06/1988 - 01/18/1993

PUGET SOUND SECURITIES, INC. (SEATTLE WA)

NA

02/04/1988 - 06/23/1988

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

NA

12/11/1986 - 02/04/1988

BOETTCHER & COMPANY, INC.

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Licenses & Designations

IA

Issued 11/06/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/08/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/20/1986

Series 7 - General Securities Representative Examination

BC

Issued 08/15/1981

Series 52 - Municipal 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

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Gene Sam Wong. Review regulatory record here.
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