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Detailed Report
WILSON FUNG
WILSON YUSHUN FUNG
CRD#: 2778788
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CITI RETAIL BANKING
375-381 COURT STREET
BROOKLYN, NY 11231
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2012 - 2020 (8 years)2 FIRMS2020 - 2022 (1 year)2 FIRMS2022 - Present (3 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2011 - 2012 (<1 year)BALLSTATE FINANCIAL SERVICES, LLC (CRD# 18272)2009 - 2011 (2 years)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2008 - 2009 (<1 year)BHSBC SECURITIES (USA) INC. (CRD# 19585)2005 - 2008 (3 years)BHSBC BROKERAGE (USA) INC. (CRD# 6956)2003 - 2005 (1 year)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)1999 - 2003 (4 years)BJ.B. OXFORD & COMPANY (CRD# 14343)1998 - 1999 (<1 year)BLIDO SECURITIES CORP. (CRD# 38285)1998 - 1998 (<1 year)BU.S. SECURITIES & FUTURES CORP. (CRD# 36045)1997 - 1998 (<1 year)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2006 - 2008 (1 year)
Disclosure(s)
View By:
12/12/2008
Customer Dispute
Denied
4/21/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 6/9/2023
B
New York 4/5/2022
B
Delaware 3/31/2025
B
North Carolina 2/23/2023
B
Florida 7/14/2022
B
Pennsylvania 7/14/2022
B
New Jersey 7/13/2022
B
Rhode Island 10/30/2024
IA
New York 4/4/2022
B
Virginia 8/26/2024

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CITI RETAIL BANKING 375-381 COURT STREET, BROOKLYN, NY 11231
Brooklyn, NY
Registered with this firm since 4/4/2022
B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CITI RETAIL BANKING 375-381 COURT STREET, BROOKLYN, NY 11231
Brooklyn, NY
Registered with this firm since 4/4/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/13/2020 - 03/04/2022 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) BROOKLYN, NY
B
 10/06/2020 - 03/04/2022 CETERA INVESTMENT SERVICES LLC (CRD#:15340) BROOKLYN, NY
IA
 08/22/2012 - 06/05/2020 HSBC SECURITIES (USA) INC. (CRD#:19585) BROOKLYN, NY
B
 06/21/2012 - 06/05/2020 HSBC SECURITIES (USA) INC. (CRD#:19585) BROOKLYN, NY
B
 12/21/2011 - 06/15/2012 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 07/02/2009 - 10/06/2011 ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272) NEW YORK, NY
B
 05/02/2008 - 04/28/2009 STATE FARM VP MANAGEMENT CORP. (CRD#:43036) BLOOMINGTON, IL
IA
 07/10/2006 - 04/09/2008 HSBC SECURITIES (USA) INC. (CRD#:19585) BROOKLYN, NY
B
 01/01/2005 - 04/09/2008 HSBC SECURITIES (USA) INC. (CRD#:19585) BROOKLYN, NY
B
 12/04/2003 - 01/01/2005 HSBC BROKERAGE (USA) INC. (CRD#:6956) NEW YORK, NY
B
 05/18/1999 - 12/04/2003 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
B
 09/24/1998 - 05/06/1999 J.B. OXFORD & COMPANY (CRD#:14343) SHERMAN OAKS, CA
B
 02/04/1998 - 10/07/1998 LIDO SECURITIES CORP. (CRD#:38285) FLUSHING, NY
B
 10/10/1997 - 01/29/1998 U.S. SECURITIES & FUTURES CORP. (CRD#:36045) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.