Wayne Ray Wong

Current Employers

Seacrest Wealth Management, Llc

3000 Westchester Avenue Suite 206, Purchase, NY 10577 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-05-27

CA RA
APPROVED

Since 2022-05-27

Branch Locations

505 Montgomery Street, San Francisco, CA 94111 • United States

3000 Westchester Avenue Suite 206, Purchase, NY 10577 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	Palo Alto	CA	08/2010	05/2022
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	05/2022
Seacrest Wealth Management	Purchase	NY	05/2022	Present
Purshe Kaplan Sterling Investments	Albany	NY	06/2022	Present

08/2010 → 05/2022

Morgan Stanley Smith Barney

Palo Alto, CA
01/2015 → 05/2022

Morgan Stanley Private Bank, National Association

New York, NY
05/2022 → Present

Seacrest Wealth Management

Purchase, NY
06/2022 → Present

Purshe Kaplan Sterling Investments

Albany, NY

Previous Registrations

2010-08-25 → 2022-06-03

Morgan Stanley

Palo Alto, CA
1999-11-29 → 2010-08-26

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oakland, CA

Oakland, CA

Other Businesses

1) SEACREST WEALTH MANAGEMENT. Investment related. Located at 505 Montgomery Street, 11th Floor, San Francisco, CA 94101. Nature - RIA Wealth Management. Position - Wealth Manager, Executive Director. Start - 05/2022. 160 per month, all during trading hours. Duties - work as a RIA which offers advise and guidance to individuals and businesses. 2) FIXED INSURANCE. Investment related. Located at 505 Montgomery Street, 11th Floor, San Francisco, CA 94101. Nature - Fixed/ Traditional Insurance. Position - Agent. Start - 05/2022. 20 hours per month, 1 hour during trading hours. Duties - Sales of Fixed/ Traditional insurance products. 3) RENTAL PROPERTY. Not investment related. Located at 555 10th Street, Unit 107, Oakland, CA 94607. Nature - Rental Property. Position - Owner. Start - 08/2010. 1 hour per month, not during trading hours. Duties - Supporting and managing the property. 4) PKS FINANCIAL. Investment related. Located at 80 State Street, Albany NY 12207. Nature - Fixed/ Traditional Insurance. Position - Agent. Start - 06/2022. 20 hours per month, 1 hour during trading hours. Duties - Sales of Fixed/ Traditional insurance products. 5) Wong & Associate Wealth Management S Corp. 505 Montgomery Street, 11th Floor San Francisco, CA 94111. Entity to hold my practice. President. Investment Related. Holding entity to hold my practice for tax saving purpose My Entire RIA revenues would be send into this entity. Start 6/1/2022. 140 hrs/month 7 during trading. The activities are deriving from managing my personal RIA book of business.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-07-16
S63	Uniform Securities Agent State Law Examination	1999-03-31

S65 Uniform Investment Adviser Law Examination

1999-07-16
S63 Uniform Securities Agent State Law Examination

1999-03-31

Designations

View on SEC IAPD