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Lloyd Katharine Wong

Clifford Swan Investment Counselors

Pasadena, CA

CRD 3146807

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Employer firm

Clifford Swan Investment Counselors CRD 108033

$4.48B regulatory AUM 6 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Clifford Swan Investment Counselors

177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-03
  • CA RA
    APPROVED
    Since 2025-01-03

Branch Locations

177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965 • 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
Clifford Swan Investment Counsel Pasadena CA 11/2007 Present
  • 11/2007 → Present
    Clifford Swan Investment Counsel
    Pasadena, CA
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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Nearby Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez

Nearby Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA

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