James Ha Ong

CRD 4841258 · Wells Fargo Advisors · Cupertino, CA

IA RegisteredBroker

Also appears in the source record as: James Ong

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 31Series 7Series 66
Registered states (18): Alabama · Arizona · California · Colorado · Florida · Georgia · Massachusetts · Michigan · Missouri · Nevada · New Hampshire · New Jersey · New York · North Carolina · Oregon · Tennessee · Texas · Washington
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4841258 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (8)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Cupertino, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Cupertino, CA · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
San Jose, CA · IA capacity

Oct 23, 2009 → Mar 22, 2011
Merrill Lynch, Pierce, Fenner & Smith Incorporated
San Jose, CA · BC capacity

Oct 23, 2009 → Mar 22, 2011
Banc Of America Investment Services, Inc.
San Jose, CA · IA capacity

Jan 9, 2006 → Oct 23, 2009
Banc Of America Investment Services, Inc.
San Jose, CA · BC capacity

Jan 6, 2006 → Oct 23, 2009
Morgan Stanley
San Jose, CA · IA capacity

Nov 16, 2004 → Jan 12, 2006
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Oct 6, 2004 → Jan 12, 2006

Source & corrections

Where this page comes from

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