Carl Wong

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-03-31
TX	RA	APPROVED_RES	2025-03-31

Branch Locations

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

Organization	City	State	From	To
Fidelity Investments	Palo Alto	CA	03/2024	Present
N/A	San Jose	CA	01/2024	03/2024
Scottrade	Cupertino	CA	04/2016	04/2018
Td Ameritrade, Inc.	Milpitas	CA	04/2018	10/2020
Charles Schwab And Co., Inc.	Cupertino	CA	10/2020	01/2024
Fidelity Investments	Boston	MA	03/2025	Present

2024-04-01 → 2025-03-31

Fidelity Personal And Workplace Advisors

Palo Alto, CA
2022-01-26 → 2024-01-11

Charles Schwab & Co., Inc.

Cupertino, CA
2018-02-26 → 2023-09-07

Td Ameritrade Investment Management, Llc

Omaha, NE

Milpitas, CA

Cupertino, CA
2018-02-27 → 2022-10-14

Td Ameritrade, Inc.

Milpitas, CA

Cupertino, CA
2017-01-25 → 2018-02-26

Scottrade Investment Management

Saint Louis, MO
2008-09-03 → 2016-04-15

Td Ameritrade, Inc.

Campbell, CA

Fort Worth, TX

Westlake, TX

Fort Worth, TX
2008-09-03 → 2016-04-15

Td Ameritrade Investment Management, Llc

Fort Worth, TX

Campbell, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-01-13