SW
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Stanley Wong
50 Years of Experience
Central Valey, NY
7 DisclosuresBrokerSells Insurance
Stanley Wong is a registered investment advisor at Cetera Investment Advisers LLC, based in Central Valey, NY, with 50 years of industry experience. Stanley operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Central Valey, NY
Get directionsHistory
Regulatory History (7)
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Customer Dispute
February 2016Settled
Customer Dispute
August 2015Settled
Customer Dispute
February 2003Award / Judgment
Customer Dispute
October 1993Settled
Customer Dispute
July 1993Settled
Customer Dispute
December 1992Settled
Customer Dispute
March 1992Settled
Other Business ActivitiesSells Insurance
Stanley sells fixed insurance, including life insurance and annuities, through various companies and under the DBA Hudson Valley Money Tree, Inc. He also serves as a trustee for the Parish of Sacred Heart - St. Patrick, a religious organization.
Employment History
Current Registrations
Cetera Investment Advisers LLC
February 2024 - Present · 2 yrs 3 mos
Cetera Advisors LLCBroker
October 2016 - Present · 9 yrs 7 mos
Previous Registrations
Cetera Advisors LLC
October 2016 - March 2024 · 7 yrs 5 mos
Investors Capital Advisory
June 2008 - October 2016 · 8 yrs 4 mos
Investors Capital CORP.Broker
November 2006 - October 2016 · 9 yrs 11 mos
Oppenheimer & CO. INC.Broker
August 2003 - December 2006 · 3 yrs 4 mos
Commerce Capital Markets, INC.
October 2002 - August 2003 · 10 mos
Commerce Capital Markets, INC.Broker
March 2001 - August 2003 · 2 yrs 5 mos
Fahnestock & CO. INC.Broker
November 1992 - December 2000 · 8 yrs 1 mo
Prudential Securities IncorporatedBroker
February 1984 - October 1992 · 8 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - March 1984 · 5 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
June 1975 - September 1978 · 3 yrs 3 mos
State Registrations15 states
COCTFLGAILINMANCNJNYSCTXUTVAVT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.