Best Investors Account Sign in

Visothy Vicky Ong-Dy

Wells Fargo Clearing Services, LLC

Irvine, CA

Irvine, CA

Claim This Profile
Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-10-31
CA RA APPROVED 2011-06-01
  • TX RA
    APPROVED
    Since 2019-10-31
  • CA RA
    APPROVED
    Since 2011-06-01

Branch Locations

14468 Culver Dr, Irvine, CA 92604 • United States

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • 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
Wells Fargo Advisors Llc Newport Beach CA 05/2011 11/2016
Wells Fargo Clearing Services, Llc Newport Beach CA 11/2016 Present
Previous Registrations
  • 2009-05-02 → 2011-06-01
    Chase Investment Services Corp.
    Laguna Hills, CA
    Lake Forest, CA
  • 2006-02-21 → 2009-05-02
    Wamu Investments, Inc.
    Laguna Hills, CA
    Lake Forest, CA
    Laguna Hills, CA
Other Businesses

RENTAL PROPERTY; INV RELATED; ORANGE, CA; 100% OWNERSHIP WITH SPOUSE; 01/2025; 1 HOUR PER MONTH; NO HOURS DURING TRADING; NO DUTIES

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-01-11
  • S63 Uniform Securities Agent State Law Examination
    1990-01-11
Other Names
  • Visothy Vicky Ong
  • Vicky Ong
  • Vicky Ong-Dy
  • Visothy Vicky Ong-Dy

View on SEC IAPD

Other Firms

VISTA POINT ASSET MANAGEMENT LLC
PRINCIPAL SECURITIES, INC.
GALLAGHER FIDUCIARY ADVISORS, LLC
EQUITABLE ADVISORS, LLC
INTEGRATED WEALTH CONCEPTS LLC
VANDERBILT ADVISORY SERVICES
THE BALDWIN GROUP WEALTH ADVISORS, LLC
BENEFIT FINANCIAL SERVICES GROUP

Other Investors

ANH THICAM NGUYEN
HAN CHEN
Wade Allen Jones
Sylvia Yoonhee Ahn
Adam Jehad Salman
Charles Edward Gallagher
KAREN LOMAS
Arvind Mehta

Other Offices

VISTA POINT ASSET MANAGEMENT LLC · IRVINE, CA
PRINCIPAL SECURITIES, INC. · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA
EQUITABLE ADVISORS, LLC · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA
INTEGRATED WEALTH CONCEPTS LLC · IRVINE, CA
INTEGRATED WEALTH CONCEPTS LLC · IRVINE, CA
EQUITABLE ADVISORS, LLC · IRVINE, CA

More in Irvine, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor