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KT

Kam Tong

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CRD#: 1298635
KT

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kam Tong was a registered financial professional .

Kam is a previously registered financial professional and started their career in finance in 1984. Kam had worked at 3 firms and has passed the Series 63, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 6, 2005 - January 24, 2014

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
RALEIGH, NC
Past

February 23, 1989 - September 6, 2005

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

September 24, 1984 - March 20, 1989

FIRST CHATHAM SECURITIES, INC.

BD
CRD#: 15025

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/31/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/29/1988
Financial and Operations Principal Examination

Current Firm

LP
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
LIBERTY PARTNERS FINANCIAL SERVICES, INC. | LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390 / SEC#: , 8-66335

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617
Mailing Address
7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617
Phone number
(800) 440-0442
Established
California since 01/12/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RETHINK, LLCOWNER
ATKINS, BRADLEY DALEOWNER2963790
SHANAHAN, DANIEL JAMESCHIEF EXECUTIVE OFFICER3277912
SHANAHAN, DANIEL JAMESPRINCIPAL OPERATIONS OFFICER3277912
SHANAHAN, DANIEL JAMESCHIEF COMPLIANCE OFFICER3277912
WOODWARD, CASSANDRA TALEENCHIEF FINANCIAL OFFICER2956369
WOODWARD, CASSANDRA TALEENPRINCIPAL FINANCIAL OFFICER & FINOP2956369

Disclosures

Regulatory Event8
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

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