Benjamin William Wong

Employer firm

Mariner CRD 140195

$125B regulatory AUM 216 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 08/2014 → 12/2021
  Commonwealth Financial Network
  San Diego, CA
• 12/2021 → Present
  Mariner Wealth Advisors
  Pleasanton, CA
• 12/2021 → 06/2024
  Msec, Llc
  Pleasanton, CA

Previous Registrations

• 2014-08-12 → 2021-12-31
  Commonwealth Financial Network
  San Diego, CA
  Pleasanton, CA
  Sacramento, CA
  Roseville, CA
• 2008-08-15 → 2014-08-15
  Financial Telesis Inc
  Walnut Creek, CA
  San Rafael, CA
• 1997-12-19 → 2008-08-15
  Foothill Securities, Inc.
  Pleasanton, CA
  Granada Hills, CA
  Millbrae, CA
  Santa Cruz, CA
  Fremont, CA
  Sunol, CA
  Fresno, CA
  Pinole, CA

Other Businesses

FIXED INSURANCE SALES; CONDUCTED FROM BRANCH; INVESTMENT RELATED. WENBONG MUSIC; SALES OF MUSIC PERFORMANCES; NOT INVESTMENT RELATED; CONDUCTED AT BRANCH. Benjamin W. Wong & Associates Inc.; investment related, Henderson, NV, holding for investment assets, President, start date: 1/05/2005, 3 hours per month, 0 hours during trading hours, no responsibilities. 4140 Grant Partners, Inc; Not investment related, Pleasanton, CA, Inactive corporation, President, start date: 03/17/21, 0 hours per month, 0 hours during trading hours, no responsibilities.

Exams

• S63 Uniform Securities Agent State Law Examination
  1991-02-11

Designations

• Certified Financial Planner

Other Names

• Ben Wong