Heather Wong

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

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

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-03-02
TX	RA	APPROVED	2021-03-02

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	San Jose	CA	10/2019	11/2020
Ameriprise Financial	San Jose	CA	01/2018	09/2019
San Jose State University	San Jose	CA	08/2014	08/2019
Transamerica	Mountain View	CA	04/2016	07/2017
Randstad	San Jose	CA	11/2016	03/2017
Bank Of America N.A.	San Jose	CA	11/2019	11/2020
Morgan Stanley	Palo Alto	CA	01/2021	Present

10/2019 → 11/2020

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA
01/2018 → 09/2019

Ameriprise Financial

San Jose, CA
08/2014 → 08/2019

San Jose State University

San Jose, CA
04/2016 → 07/2017

Transamerica

Mountain View, CA
11/2016 → 03/2017

Randstad

San Jose, CA
11/2019 → 11/2020

Bank Of America N.A.

San Jose, CA
01/2021 → Present

Morgan Stanley

Palo Alto, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-08-29

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