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WK

Wendy Kong

BROOKFIELD PRIVATE WEALTH
New York, NY 10281
Some features on this profile are disabled
CRD#: 2653550
WK

Professional summary

Wendy Kong, who also goes by Wendy W Kong, Wendy Wei Kong, Wendy Wei Yin Kong, is a registered financial professional currently at BROOKFIELD PRIVATE WEALTH LLC located in New York, New York.

Wendy is registered as a RR (Registered Representative) and started their career in finance in 1996. Wendy has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wendy W Kong | Wendy Wei Kong | Wendy Wei Yin Kong

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) - BD

Click below to view Wendy Kong's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 28, 2023 - Present

BROOKFIELD PRIVATE WEALTH LLC

Office #1: 225 Liberty Street 35th Floor, New York, NY 10281
BD
CRD#: 313390
New York, NY
Past

March 7, 2018 - October 25, 2023

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
NEW YORK, NY
Past

February 23, 2018 - October 10, 2018

SERA GLOBAL SECURITIES US LLC

BD
CRD#: 283339
ALPHARETTA, GA
Past

June 1, 2010 - January 2, 2018

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

April 14, 2009 - April 5, 2010

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
JERSEY CITY, NJ
Past

August 28, 2006 - October 16, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 6, 2000 - November 28, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

April 12, 2000 - August 17, 2000

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

January 1, 1996 - May 14, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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: 2/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/22/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/22/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/29/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BROOKFIELD PRIVATE WEALTH LLC
BROOKFIELD OAKTREE DISTRIBUTORS LLC | BROOKFIELD PRIVATE WEALTH LLC | BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC | BROOKFIELD OAKTREE WEALTH MANAGEMENT SOLUTIONS LLC

CRD#: 313390 / SEC#: , 8-70722

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
225 Liberty Street 35th Floor, New York, NY 10281
Mailing Address
250 Vesey Street 15th Floor, New York, NY 10281
Phone number
(212) 549-8380
Established
Delaware since 02/04/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
BROOKFIELD US INC.MEMBER
BECK, RAFAELFINANCE & OPERATIONS PRINCIPAL5718571
KONG, WENDYCHIEF COMPLIANCE OFFICER2653550
RICHARDSON, SCOTT KIMBALLHEAD OF LEGAL5011556
SIDOTI, VICTORIA ANNDIRECTOR OF FINANCE7617845
SWEENEY, JOHN MICHAELCHIEF EXECUTIVE OFFICER2554291

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

BROOKFIELD PRIVATE WEALTH LLC

CRD#: 313390New York, NY 10281

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