Shuhong Rong
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.
Shuhong Rong, who also goes by Ronald S Rong, was a registered financial professional .
Shuhong is a previously registered financial professional and started their career in finance in 1989. Shuhong had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2017 - January 8, 2020
CETERA INVESTMENT ADVISERS LLC
September 25, 2017 - January 8, 2020
CETERA INVESTMENT SERVICES LLC
February 28, 2017 - September 25, 2017
LPL FINANCIAL LLC
February 28, 2017 - September 25, 2017
LPL FINANCIAL LLC
January 21, 2014 - February 28, 2017
CETERA INVESTMENT ADVISERS LLC
April 4, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 29, 2013 - February 28, 2017
CETERA INVESTMENT SERVICES LLC
October 11, 2011 - January 30, 2013
LPL FINANCIAL LLC
October 11, 2011 - January 30, 2013
LPL FINANCIAL LLC
February 23, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 17, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 17, 2009 - February 18, 2010
LPL FINANCIAL LLC
February 17, 2009 - February 18, 2010
LPL FINANCIAL LLC
January 22, 2008 - February 18, 2009
UCB ASSET MANAGEMENT, INC.
January 21, 2008 - February 18, 2009
UCB INVESTMENT SERVICES, INC.
March 14, 2006 - January 30, 2007
COUNTRYWIDE INVESTMENT SERVICES, INC.
February 9, 2004 - January 3, 2005
CHASE INVESTMENT SERVICES CORP.
November 26, 2001 - December 9, 2003
HSBC BROKERAGE (USA) INC.
June 30, 2000 - November 20, 2001
CITICORP INVESTMENT SERVICES
July 13, 1998 - July 7, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 7, 1994 - July 14, 1998
COLONIAL SECURITIES, INC.
April 7, 1993 - November 14, 1994
MOMENTIX CAPITAL, INC.
October 23, 1989 - July 11, 1990
STUART, COLEMAN & CO., INC.
May 23, 1989 - October 26, 1989
MADISON CHAPIN ASSOCS., INC.
May 10, 1989 - May 30, 1989
STRATTON SECURITIES, INC.
February 8, 1989 - May 4, 1989
WELLSHIRE SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
