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Alicia M Wong

Morgan Stanley

Rolling Hills Estates, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-12-08
CA RA APPROVED 2021-08-06
  • TX RA
    APPROVED
    Since 2021-12-08
  • CA RA
    APPROVED
    Since 2021-08-06

Branch Locations

609 Deep Valley Drive Suite 400, Rolling Hills Estates, CA 90274 • 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
OrganizationCityStateFromTo
Robert Half Staffing Chicago IL 01/2016 09/2016
Wells Fargo Advisors, Llc Rolling Hills Estates CA 09/2016 11/2016
Wells Fargo Clearing Services, Llc Rolling Hills Estates CA 11/2016 07/2019
Wells Fargo Advisors Financial Network, Llc Rolling Hills Estates CA 07/2019 07/2021
Morgan Stanley Rolling Hills Estates CA 07/2021 Present
  • 01/2016 → 09/2016
    Robert Half Staffing
    Chicago, IL
  • 09/2016 → 11/2016
    Wells Fargo Advisors, Llc
    Rolling Hills Estates, CA
  • 11/2016 → 07/2019
    Wells Fargo Clearing Services, Llc
    Rolling Hills Estates, CA
  • 07/2019 → 07/2021
    Wells Fargo Advisors Financial Network, Llc
    Rolling Hills Estates, CA
  • 07/2021 → Present
    Morgan Stanley
    Rolling Hills Estates, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-01
  • S66 Uniform Combined State Law Examination
    2020-07-01
Other Names
  • Alicia Wong
  • Alicia Mei Lin Wong

View on SEC IAPD

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WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
RAYMOND JAMES & ASSOCIATES, INC.
RBC CAPITAL MARKETS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
INDEPENDENT FINANCIAL GROUP, LLC

Other Investors

MARK ANTHONY BOUJIKIAN
MICHELLE NUTTMAN
JOHN ANDRAOS
JOHN BACICH
JOSHUA KONDO
BRANDON DAVID BERNSTEIN
JAMES ROBERTRYAN WHEAT
JEANNIE MARIE MABRY

Other Offices

KEYMARK FINANCIAL · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO CLEARING SERVICES, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
LPL FINANCIAL LLC · RANCHO PALOS VERDES, CA
RAYMOND JAMES & ASSOCIATES, INC. · ROLLING HILLS ESTATES, CA
RBC CAPITAL MARKETS, LLC · Rolling Hills, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROLLING HILLS ESTATES, CA

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