Individual Firm
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JAMES HA ONG
JAMES ONG
CRD#: 4841258
IA
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WELLS FARGO ADVISORSCRD#: 19616 10260 S DE ANZA BLVD
CUPERTINO, CA 95014
CUPERTINO, CA 95014
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2/26/2013
Customer Dispute
Settled
State Registrations
B
Alabama 11/4/2016
B
Michigan 1/22/2019
B
Arizona 6/18/2020
B
Nevada 1/23/2020
B
California 1/2/2014
B
New York 11/7/2019
IA
California 1/2/2014
B
Oregon 2/4/2019
B
Colorado 6/20/2023
B
Tennessee 8/5/2022
B
Georgia 9/28/2023
IA
Texas 4/9/2020
B
Illinois 1/17/2024
B
Texas 4/13/2020
B
Massachusetts 8/13/2020
B
Washington 8/23/2016
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 1/2/2014
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Registered with this firm since 3/18/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/21/2011 - 12/31/2013 | CUPERTINO, CA | |
IA | 10/23/2009 - 03/22/2011 | SAN JOSE, CA | |
B | 10/23/2009 - 03/22/2011 | SAN JOSE, CA | |
IA | 01/09/2006 - 10/23/2009 | SAN JOSE, CA | |
B | 01/06/2006 - 10/23/2009 | SAN JOSE, CA | |
IA | 11/16/2004 - 01/12/2006 | SAN JOSE, CA | |
B | 10/06/2004 - 01/12/2006 | PURCHASE, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.