Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raymond? Claim Your ProfileRaymond Wai Wong is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Raymond has been a registered representative since 1991. Previously, Raymond worked at BANC OF AMERICA INVESTMENT SERVICES, INC., TD AMERITRADE, INC., METLIFE SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, TD WATERHOUSE INVESTOR SERVICES, INC., NATHAN & LEWIS SECURITIES, INC., REPUBLIC FINANCIAL SERVICES CORPORATION, ESSEX NATIONAL SECURITIES, INC., and SOUTH RICHMOND SECURITIES, INC. Raymond holds a Series 63, Series 66, Series 7, Series 9, Series 10, and Series 24 license and has earned the Securities Industry Essentials Examination. Raymond specializes in portfolio management for businesses and individuals, as well as pension consulting.
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
NY
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NJ
08/27/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SUMMIT NJ)
NY
09/16/2005 - 08/27/2007
TD AMERITRADE, INC. (NEW YORK NY)
MA
06/16/2003 - 07/27/2005
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
06/16/2003 - 07/27/2005
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NE
07/12/1999 - 12/03/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
01/21/1999 - 05/21/1999
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
NY
09/26/1995 - 01/06/1999
REPUBLIC FINANCIAL SERVICES CORPORATION (NEW YORK NY)
CA
06/24/1993 - 09/27/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NA
10/10/1991 - 01/29/1992
SOUTH RICHMOND SECURITIES, INC.
BOTH
Issued 7/6/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/16/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/27/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 4/18/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 6/22/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/3/1991
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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