Timothy Donald Wong

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1994 → Present
  Timothy D. Wong, A Professional Law Corp
  West Covina, CA
• 01/2009 → 06/2024
  Securities America, Inc.
  West Covina, CA
• 01/2009 → 06/2024
  Securities America Advisors, Inc.
  Lavista, NE
• 06/2024 → Present
  Osaic Wealth, Inc.
  West Covina, CA
• 06/2024 → Present
  Osaic Wealth, Inc.
  West Covina, CA

Previous Registrations

• 2009-01-23 → 2024-06-14
  Securities America Advisors, Inc.
  West Covina, CA
• 2000-06-29 → 2009-01-23
  Brecek & Young Advisors, Inc.
  West Covina, CA
  Folsom, CA
  West Covina, CA

Other Businesses

1. CHILDD IN JAPAN, NON PROFIT ORGANIZATION, BOARD MEMBER, TIME 1% 2. REAL ESTATE BROKER POSITION: Real Estate Broker NATURE: California Real Estate Broker licensed INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/08/1994 ADDRESS: 401 Alabama Street, San Gabriel CA 91775, United States DESCRIPTION: Licensed California Real Estate Broker, use primarily for personal use and family use in buying and selling real estate properties. I also use the legal info that I can access for my law practice. 3. TIMOTHY D WONG, A PROFESSIONAL LAW CORP POSITION: I am the sole owner-attorney NATURE: TIMOTHY D. WONG, A PROFESSIONAL LAW CORP* INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 01/01/1994 ADDRESS: 1031 S. Glendora Avenue, #105, West Covina CA 91790, United States DESCRIPTION: Estate and Legacy Planning Attorney. I handle Wills, Trusts and Probates 4. PUBLIC NOTARY POSITION: Public Notary NATURE: Public Notary INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/13/1995 ADDRESS: 1031 S. Glendora Avenue, West Covina CA 91790, United States DESCRIPTION: Notarizing of clients estate planning documents. 5. RW FAMILY TRUST POSITION: Trustee NATURE: I am now the trustee of my mother's revocable living trust. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/25/2018 ADDRESS: 409 Alabama Street, San Gabriel CA 91775, United States DESCRIPTION: As trustee of my mother's living trust, I will be transferring investment accounts that were held by my father and mother as joint tenants. My dad passed away last Oct. 24, 2017 and now I am helping my mom consolidate accounts into her trust. I am also the registered rep on the accounts to be transferred.

Exams

• S63 Uniform Securities Agent State Law Examination
  1984-08-16