Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peggy? Claim Your ProfilePeggy Tong has been working in the financial services industry since 2006. She is currently registered with Charles Schwab & Co., Inc. in Rowland Heights, CA. Peggy has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Scottrade, Inc.. Peggy is licensed to provide investment advisory services and securities related services.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CA
08/02/2023 - Present
Charles Schwab & CO., Inc. (Rowland Heights CA)
CA
09/15/2014 - 07/18/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROSEMEAD CA)
CA
06/15/2006 - 09/04/2014
SCOTTRADE, INC. (ROWLAND HEIGHTS CA)
IA
Issued 10/02/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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