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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Luke Wong is a financial advisor with over 17 years of experience. Thomas is currently registered as a Registered Representative (Series 6, 7, 62 and 63) with Fidelity Personal And Workplace Advisors, and is also registered as an Investment Advisor Representative (Series 65) with Fidelity Personal And Workplace Advisors. Thomas has also held previous positions with MML Investors Services, LLC and Northwestern Mutual Investment Services, LLC. Thomas is a skilled advisor who has been registered in 20 states, including California, Texas, and Florida. Thomas Luke Wong specializes in providing financial planning, investment management, and other advisory services to individuals, families, and businesses.
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.
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.
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
04/07/2020 - Present
Fidelity Personal AND Workplace Advisors (LOS GATOS CA)
CA
02/07/2008 - 04/04/2014
MML INVESTORS SERVICES, LLC (SAN JOSE CA)
CA
08/15/2006 - 01/09/2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SAN JOSE CA)
IA
Issued 10/15/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/21/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2014
Series 7 - General Securities Representative Examination
BC
Issued 02/22/2012
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 08/14/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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