John Wong serves as a Client Service Associate with Cypress Wealth Services. As a Client Service Associate, John is responsible for a wide range of client service responsibilities including account opening, ongoing account maintenance, financial planning support and insurance and annuity contract processing. Prior to joining Cypress Wealth Services, John served as the Chief Compliance Officer for a Registered Investment Advisory firm where he was responsible for the firm's regulatory investment responsibilities and before that was a portfolio control manager for twenty years at a global investment management firm in Los Angeles, where he was involved with regulatory and investment compliance. John is a Certified Internal Auditor (CIA®), a Certified Fraud Examiner (CFE®), has a Certification in Risk Management Assurance (CRMA®) and is an Investment Adviser Certified Compliance Professional (IACCP®). He is a member of the Institute of Internal Auditors, the Association of Certified Fraud Examiners, the National Society of Compliance Professionals, the Society of Corporate Compliance and Ethics, and the California '40 Acts Group. He currently volunteers by reading scholarship applications for his alma mater and being a committee member of the Institute of Internal Auditors. John has a BA in Economics from the University of California, Berkeley. He is married and enjoys traveling, cooking, hiking and foreign films.