Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wong is a financial professional with over 13 years of experience in the industry. Currently, James is registered with Fidelity Brokerage Services LLC and National Financial Services LLC. James holds a Series 7, Series 55, Series 57TO, and SIE licenses. James has a broad base of experience and is registered in 53 states.
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.
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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2
MA
12/17/2021 - Present
Fidelity Brokerage Services LLC (BOSTON MA)
MA
09/18/2020 - 05/14/2021
FIDELITY PRIME FINANCING (BOSTON MA)
MA
07/03/2009 - 04/02/2012
ITG INC. (BOSTON MA)
BC
Issued 03/22/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/2015
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/01/2009
Series 7 - General Securities Representative Examination
Active
Inactive
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
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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