Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gilbert? Claim Your ProfileGilbert Chi wai Tong is an active investment advisor registered with the state of California and Texas. Gilbert has been in the industry since March 31, 1994 and is currently affiliated with Merrill Lynch, Pierce, Fenner & Smith Inc.. Before joining Merrill Lynch, Gilbert worked at Morgan Stanley and TD Waterhouse Investor Services, Inc. among other firms. Gilbert holds licenses for Series 3, 7, 10, 31, 63, 65, and SIE.
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
03/20/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA MONICA CA)
CA
06/01/2009 - 03/11/2014
MORGAN STANLEY (SANTA MONICA CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BURBANK CA)
CA
12/15/1999 - 04/02/2007
MORGAN STANLEY DW INC. (LOS ANGELES CA)
NE
11/07/1997 - 12/08/1999
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
CA
11/03/1994 - 11/07/1997
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
NY
10/16/1993 - 05/25/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
IA
Issued 02/14/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/03/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/02/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2010
Series 3 - National Commodity Futures Examination
BC
Issued 06/02/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/19/1993
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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