Barbara H. Kong
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.
Barbara Holian Kong, who also goes by Barbara Holian, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1991. Barbara had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2004 - July 5, 2018
1ST GLOBAL ADVISORS INC
January 30, 2004 - July 5, 2018
1ST GLOBAL CAPITAL CORP.
March 11, 2002 - January 23, 2004
CUSO FINANCIAL SERVICES, L.P.
February 13, 2001 - January 23, 2004
CUSO FINANCIAL SERVICES, L.P.
September 6, 2000 - February 6, 2001
COMMONWEALTH FINANCIAL NETWORK
November 22, 1991 - August 9, 2000
WADDELL & REED
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
1ST GLOBAL ADVISORS INC
CRD#: 111133 / SEC#: 801-41517
Contact information
Documents
Part 2 Brochures
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.
