DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Timothy James Wong

Oppenheimer & Co. Inc.BD affiliatedFlorham Park, Njdual registrantIAPD 2631548

Feed of 09/14/2026

Also filed as Timothy James Wong

At current firm

0 y

since Jun 22, 2026

In the industry

30 y

since Jan 12, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Oppenheimer & Co. Inc. BD affiliated current
since Jun 22, 2026 · Florham Park, Nj
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jan 21, 2022 to Aug 7, 2025 · West Nyack, Ny
Morgan Stanley wirehouse
Mar 31, 2021 to Jan 4, 2022 · New York, Ny
Td Ameritrade, Inc. former
Feb 27, 2018 to Jan 11, 2021 · Fort Lee, Nj
Td Ameritrade Investment Management, LLC former
Feb 26, 2018 to Dec 31, 2020 · Omaha, Ne
Scottrade Investment Management former
May 12, 2017 to Feb 26, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

Merrill Lynch, Pierce, Fenner & Smith Incorporated to Oppenheimer & Co. Inc.
left Aug 7, 2025, registered Jun 22, 2026 (319 days) · Wirehouse to affiliated broker-dealer or bank
Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jan 4, 2022, registered Jan 21, 2022 (17 days) · Wirehouse to wirehouse
Td Ameritrade, Inc. to Morgan Stanley
left Jan 11, 2021, registered Mar 31, 2021 (79 days) · Other
Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.
left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
Scottrade Investment Management to Td Ameritrade Investment Management, LLC
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move

Signals

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

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address