Cary Ann Wong

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-08-08
ID	RA	APPROVED	2008-11-12
WA	RA	APPROVED	2007-07-02

TX RA
APPROVED

Since 2016-08-08
ID RA
APPROVED

Since 2008-11-12
WA RA
APPROVED

Since 2007-07-02

Branch Locations

215 Oregon Street, Kellogg, ID 83837 • United States

16201 E. Indiana Ave Ste 5220, Spokane Valley, WA 99216-2830 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Spokane Valley	WA	07/2007	Present

07/2007 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Spokane Valley, WA

Previous Registrations

2007-03-15 → 2007-07-03

Edward Jones

Spokane Valley, WA

Other Businesses

1. 7/27/2009 - WONG FINANCIAL SERVICES, INC. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) 2. 11/11/2009 - NON-VARIABLE INSURANCE - WOLF & ASSOCIATES, LLC - Investment Related - At Reported Business Location(s) - TIME SPENT 10% 3. 5/20/2011 - NON-VARIABLE INSURANCE - CONTRACTING WITH AFLAC TO BE ABLE TO SOLICIT AND SELL THEIR INSURANCE PRODUCTS -TIME SPENT 2%- Investment Related - At Reported Business Location(s) 4. 07/22/2014 - CAR2, LLC - LEASE AGREEMENT - LLC FORMED FOR BUSINESS EXPENSES AND LEASE PAYMENTS - 1 HOUR PER MONTH - SPOKANE VALLEY, WA - Start date:07/01/2014 - 1 hrs/mnth 0 hrs during trading 5. 06/01/2015 - GMT WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Investment Related - At Reported Business Location(s) - START 06/01/2015 - 110 HRS/MO DURING SECS TRDG HRS 6. 4/27/2020 - Wong Financial Services, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/27/2020 - 40 Hours Per Month/10 Hours During Securities Trading. 7. 5/4/2020 - GMT Mission, LLC - Not Investment Related - The acre of land that was purchased inside this LLC will not be assigned an address. - Business Entity For Tax/Investment Purposes Only - Started 04/27/2020 - 2 Hours Per Month/0 Hours During Securities Trading 8. 06/09/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Other - Notary - Start Date 06/01/2023 - 1 Hour Per Month/ 1 Hour During Securities Trading 9. 03/03/2025- ;o- Other - Partial ownership in new business entity- INV Related- At Spokane Valley, WA- Start date 02/13/2025- 1 Hour During Trading 10. 04/16/2026 - The Indiana Five, LLC - Other - Partial ownership in new business entity - Spokane Valley, WA - Inv Rel - Start date 02/13/2025 - 3 Hrs/mnth 0 hrs during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-03-02
S63	Uniform Securities Agent State Law Examination	2000-06-08

S66 Uniform Combined State Law Examination

2007-03-02
S63 Uniform Securities Agent State Law Examination

2000-06-08

Designations

View on SEC IAPD