Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you King? Claim Your ProfileKing Kwok Wong is a financial professional with over 29 years of experience in the financial services industry. King is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative and Investment Advisor Representative. King has held previous positions at firms such as Whitehall-Parker Securities, Inc., Edward Jones, BANC OF AMERICA INVESTMENT SERVICES, INC., BA INVESTMENT SERVICES, INC., CITICORP INVESTMENT SERVICES, CHARLES SCHWAB & CO., INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. King is licensed in multiple states and holds a variety of industry certifications, including the Series 7, Series 63, Series 65, and Series 66 exams. King offers a range of financial services, including portfolio management for individuals and businesses, pension consulting, educational seminars, and selection of other advisors.
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
10/06/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN JOSE CA)
CA
03/25/2008 - 08/12/2010
WHITEHALL-PARKER SECURITIES, INC. (SAN RAFAEL CA)
CA
10/01/2001 - 04/13/2006
EDWARD JONES (CASTRO VALLEY CA)
MA
07/12/1999 - 10/02/2001
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
03/05/1996 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NY
07/16/1993 - 02/29/1996
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
TX
01/10/1992 - 10/07/1992
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
10/04/1991 - 12/20/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/10/1990 - 07/31/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
12/19/1989 - 07/11/1990
J. W. GANT & ASSOCIATES, INC.
NA
12/20/1988 - 10/02/1989
F.D. ROBERTS SECURITIES, INC.
BOTH
Issued 02/22/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/26/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/12/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1988
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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