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Sandy P Wong

SG Americas Securities, LLC

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About Sandy P Wong

Sandy Wong is an investment professional with over 30 years of experience in the financial services industry. Sandy's career spans multiple firms, including J.P. Morgan Securities LLC and Morgan Stanley & Co. LLC. Sandy has a strong understanding of the financial markets and a commitment to providing clients with personalized investment advice. Sandy currently holds a registration with SG Americas Securities, LLC. Sandy is licensed in New York.

Firm Information

Sandy Wong is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Sandy Wong’s Registration & Firm History

NY

10/06/2016 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

10/05/2012 - 09/21/2016

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

04/02/2007 - 08/07/2012

MORGAN STANLEY & CO. LLC (PURCHASE NY)

NY

11/30/1992 - 04/02/2007

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 10/09/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/18/1992

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 02/01/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/06/2001

Series 3 - National Commodity Futures Examination

BC

Issued 07/23/1993

Series 31 - Futures Managed Funds Examination

BC

Issued 11/25/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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 MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Sandy P Wong. Review regulatory record here.
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