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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

FRANK WONG

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

New York, NY

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Search this name across graphsid dfx:ria:468dde17-f734-dcaf-014a-693eae0a69ae

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 20, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENT FINANCIAL GROUP, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 12, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63
First exam: Oct 12, 1994
First registration: Jan 20, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 1093400

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Nov 28, 2017	n/a	yes	New York, NY	Current employment
F3LOGIC, LLC	Former SEC adviser	Nov 15, 2017	May 19, 2023	no	Old Tappan, NJ\|BURNSVILLE, MN	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Apr 13, 2011	Nov 7, 2017	no	LOS ANGELES, CA\|OLD TAPPAN, NJ\|New York, NY	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jan 20, 2010	Apr 13, 2011	no	NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
F3LOGIC, LLC	INDEPENDENT FINANCIAL GROUP, LLC	May 19, 2023	Nov 28, 2017	-1,998	Firm change after gap	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	F3LOGIC, LLC	Nov 7, 2017	Nov 15, 2017	8	Firm change	Other
MML INVESTORS SERVICES, LLC	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Apr 13, 2011	Apr 13, 2011	0	Firm change	Other

Relationships

Registered with (4)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Nov 28, 2017 to presentfactForm ADV
→ F3LOGIC, LLCRegistered adviserregistration: previous registration
Nov 15, 2017 to May 19, 2023factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Apr 13, 2011 to Nov 7, 2017factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jan 20, 2010 to Apr 13, 2011factForm ADV

Dated events

Occurred
May 19, 2023
Advisor changed firm
Frank Wong left F3Logic, Llc for Independent Financial Group, Llc (registered 2017-11-28)
Form ADVobserved 6 days ago