Stanley Wong

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2024-03-21
TX	RA	APPROVED_RES	2024-02-01

NJ RA
APPROVED

Since 2024-03-21
TX RA
APPROVED_RES

Since 2024-02-01

Branch Locations

Central Valey, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Investors Capital Corporation	Lynnfield	MA	11/2006	10/2016
Cetera Advisors Llc	St Cloud	MN	10/2016	Present
Hudson Valley Money Tree Inc, Dba Stanley Wong	Central Valley	NY	01/2006	Present
Cetera Investment Advisers Llc	Schaumburg	IL	02/2024	Present

11/2006 → 10/2016

Investors Capital Corporation

Lynnfield, MA
10/2016 → Present

Cetera Advisors Llc

St Cloud, MN
01/2006 → Present

Hudson Valley Money Tree Inc, Dba Stanley Wong

Central Valley, NY
02/2024 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2008-06-11 → 2016-10-03

Investors Capital Corp.

Lynnfield, MA

Greenville, SC

Central Valey, NY

Lynnfield, MA
2002-10-11 → 2003-08-26

Td Wealth Management Services Inc.

Ramsey, NJ

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 06/22/2016; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE & ANNUITIES. 2. NAME OF OTHER BUSINESS: HUDSON VALLEY MONEY TREE, INC. DBA STANLEY WONG INVESTMENTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 2006; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE SALES (LIFE INSURANCE & VARIABLE ANNUITIES).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-28
S63	Uniform Securities Agent State Law Examination	1980-06-20

S65 Uniform Investment Adviser Law Examination

1999-12-28
S63 Uniform Securities Agent State Law Examination

1980-06-20

View on SEC IAPD