Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you King? Claim Your ProfileKing L. Wong is a financial advisor with Citigroup Global Markets Inc. based in Stamford, CT. King has over 25 years of experience in the financial services industry. King holds a variety of licenses and registrations including Series 4, 7, 9, 10, 24, 52, 53, 55, 62, 63, 65, 79, and SIE. King has also been registered with several other firms including Morgan Stanley, Barclays Capital Inc., and Royal Alliance Associates, Inc. King specializes in asset allocation advice, financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
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2
CA
11/14/2024 - Present
Citigroup Global Markets Inc. (Los Angeles CA)
NY
08/23/2013 - 09/24/2018
MORGAN STANLEY (NEW YORK NY)
NY
01/30/2013 - 09/04/2013
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
06/01/2009 - 02/13/2013
MORGAN STANLEY (PURCHASE NY)
NY
09/10/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NJ
04/25/2006 - 09/11/2006
ROYAL ALLIANCE ASSOCIATES, INC. (WEST ORANGE NJ)
NY
11/19/2004 - 04/19/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (FLUSHING NY)
CA
07/31/2002 - 11/19/2004
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NY
02/15/2002 - 07/29/2002
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
IL
02/12/1997 - 02/05/2002
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NE
04/18/1996 - 12/18/1996
WATERHOUSE SECURITIES, INC. (OMAHA NE)
NY
10/09/1995 - 02/08/1996
AMERICORP SECURITIES, INC. (NEW YORK NY)
IA
Issued 02/02/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/17/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/25/2008
Series 4 - Registered Options Principal Examination
BC
Issued 05/03/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 09/24/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/06/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, 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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