Brian WongCRD Number: 3121601
Current Firm: Waddell & Reed
Brian Wong (CRD# 3121601) is an Investment Advisor Representative working at Waddell & Reed in San Mateo, CA and has over 18 years of experience in the finance industry. Brian Wong has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Three Bell Capital LLC
Blossom Wealth Management, LLC
Jurika, Mills & Keifer, LLC
|Strategic Divorce Solutions||San Mateo, CA||May 2014 - Current||3|
|Massachusetts Mutual||San Mateo, CA||Mar 2011 - Current||6|
|Red Envelope Financial Planning, Inc.||Foster City, CA||Apr 2006 - Current||11|
|Rental Property||Foster City, CA||Jan 2006 - Current||11|
|Brian C Wong/notary Public||Belmost, CA||Nov 2002 - Current||14|
|Various Insurance Carriers For W&r Insurance Agencies||Foster City, CA||Dec 1998 - Current||18|
|Waddell & Reed, Inc.||San Mateo, CA||Sep 1998 - Current||18|
|The Arc||San Francisco, CA||Oct 2010 - Dec 2012||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 1998|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management18,309MILLIONS
Total Number of Accounts149,599ACCOUNTS
Average Account Value$122,387
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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