Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Wong is a registered investment advisor and a registered representative with RBC Capital Markets, LLC. Mary has been in the securities industry since 1996, and has a wide range of experience in providing investment advice to individuals, corporations, and institutions. Mary's expertise includes financial planning, portfolio management, and municipal securities. She has been a member of the MSRB Compliance Advisory Group since 2022. Mary is committed to providing her clients with the highest level of service and is dedicated to helping them achieve their financial goals.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
MN
11/19/2013 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
NY
03/02/1998 - 07/01/1999
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
05/29/1996 - 03/02/1998
DAIN RAUSCHER INCORPORATED
IA
Issued 07/03/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/21/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2019
Series 54 - Municipal Advisor Principal Qualification Examination
BC
Issued 11/15/2004
Series 12 - NYSE Branch Manager Examination
BC
Issued 06/21/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/23/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 05/28/1996
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
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, 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
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