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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

TIMOTHY JAMES WONG

Advisor at OPPENHEIMER & CO. INC.

FLORHAM PARK, NJ

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Search this name across graphsid dfx:ria:e06a91df-40c4-6cbe-ddf3-63b9a024edfa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: May 12, 2017 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: OPPENHEIMER & CO. INC.
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: Jan 12, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jan 12, 1996
First registration: May 12, 2017
Dual registered: yes, broker-dealer
Other names: Timothy James Wong|TIMOTHY J WONG|Timothy Wong
IAPD individual key: 2631548

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
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jun 22, 2026	n/a	yes	FLORHAM PARK, NJ	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 21, 2022	Aug 7, 2025	no	WEST NYACK, NY\|PARAMUS, NJ\|BRIDGEWATER, NJ\|FORT LEE, NJ\|FLORHAM PARK, NJ\|Kinnelon, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Mar 31, 2021	Jan 4, 2022	no	New York, NY	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	Jan 11, 2021	no	FORT LEE, NJ\|Paramus, NJ	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Dec 31, 2020	no	OMAHA, NE\|FORT LEE, NJ\|Paramus, NJ	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	May 12, 2017	Feb 26, 2018	no	SAINT LOUIS, MO	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	OPPENHEIMER & CO. INC.	Aug 7, 2025	Jun 22, 2026	319	Firm change	Wirehouse to ibd
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 4, 2022	Jan 21, 2022	17	Firm change	Wirehouse to wirehouse
TD AMERITRADE, INC.	MORGAN STANLEY	Jan 11, 2021	Mar 31, 2021	79	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 31, 2020	Feb 27, 2018	-1,038	Bulk transfer	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA

Relationships

Registered with (6)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
Jun 22, 2026 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 21, 2022 to Aug 7, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 31, 2021 to Jan 4, 2022factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to Jan 11, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Dec 31, 2020factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
May 12, 2017 to Feb 26, 2018factForm ADV

Dated events

Occurred
Aug 7, 2025
Advisor changed firm
Timothy James Wong left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Oppenheimer & Co. Inc. (registered 2026-06-22)
Form ADVobserved 5 days ago
Occurred
Jan 4, 2022
Advisor changed firm
Timothy James Wong left Morgan Stanley for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-01-21)
Form ADVobserved 5 days ago