Robert D Wong

Capital Wealth Alliance, LLC

31 Years of Experience

3 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth

Capital Wealth Alliance, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

3 advisors

Number of Clients

353 clients

Average Client Portfolio

$625K average

Assets Under Management

$220.5M

Fee Structure

Location

17015 North Scottsdale Road, Suite 250, Scottsdale, AZ, 85255

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History

Regulatory History (3)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

August 1998

Denied

Customer Dispute

July 1996

Settled

Customer Dispute

June 1996

Award / Judgment

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Robert owns RDW & Associates, Inc., an S Corp for business and bill payments, dedicating minimal time. He is also a partner in Capital Wealth Holdings LLC and Capital Wealth Alliance, LLC, spending nearly full-time as CCO and IAR for the latter. Robert is also a partner and agent at Capital Wealth Insurance LLC, dedicating a few hours per week.

Employment History

Current Registrations

Capital Wealth Alliance, LLC

October 2018 - Present · 7 yrs 4 mos

Kingswood Capital Partners, LLC

October 2018 - Present · 7 yrs 4 mos

Kingswood Capital Partners, LLCBroker

October 2018 - Present · 7 yrs 4 mos

Previous Registrations

Raymond James Financial Services Advisors, INC

October 2012 - October 2018 · 6 yrs

Raymond James Financial Services, INC.Broker

March 2002 - October 2018 · 16 yrs 7 mos

First Union Securities, INC.Broker

May 1998 - March 2002 · 3 yrs 10 mos

Principal Financial Securities,inc.Broker

June 1997 - May 1998 · 11 mos

Olde Discount CorporationBroker

September 1994 - June 1997 · 2 yrs 9 mos

State Registrations8 states

AZCANJNYPASDTXWI

AdvisorBrokerBoth

Exams

No exam information available for this advisor.