Chi J. Duong

IVY CAPITAL MANAGEMENT LLC

INDIANAPOLIS, IN 46202

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CRD#: 2769225

Professional summary

Chi John Duong, who also goes by Chi J Duong, John Duong, is a registered financial advisor currently at IVY CAPITAL MANAGEMENT LLC located in Indianapolis, Indiana and FINALIS SECURITIES LLC located in New York, New York.

Chi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Chi has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, Series 7TO, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chi J Duong | John Duong

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) - RIA

Click below to view Chi John Duong's 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

October 9, 2024 - Present

IVY CAPITAL MANAGEMENT LLC

Office #1: 1557 N College Ave. #2, Indianapolis, IN 46202

RIA

CRD#: 328984

INDIANAPOLIS, IN

Current

March 11, 2025 - Present

FINALIS SECURITIES LLC

Office #1: 450 Lexington Ave., New York, NY 10017

CRD#: 305908

New York, NY

Past

January 21, 2022 - January 29, 2025

WEILD & CO.

CRD#: 132398

BOULDER, CO

Past

June 25, 2010 - December 22, 2010

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

Past

November 12, 2007 - July 9, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 9, 2004 - March 11, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 21, 2003 - September 27, 2004

RBC DANIELS, L.P.

CRD#: 14073

DENVER, CO

Past

November 8, 2001 - February 6, 2003

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/1/2025)

Connecticut
(5/13/2025)

IAR

Indiana
(10/9/2024)

Indiana
(3/11/2025)

IAR

Louisiana
(11/13/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/19/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/22/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 2/7/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/21/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/21/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 11/3/2007

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 11/3/2007

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 11/7/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

IVY CAPITAL MANAGEMENT LLC

CRD#: 328984 / SEC#:

Indiana

Registered Investment Advisory firm - (10/9/2024 Approved)

Louisiana

Registered Investment Advisory firm - (11/13/2024 Approved)

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Contact information

Main Address

1557 N College Ave. #2, Indianapolis, IN 46202

Mailing Address

Phone number

(212) 444-8383

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Chi J. Duong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chi John Duong's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINALIS SECURITIES LLC

WEILD & CO.

TAFFERER TRADING, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

RBC DANIELS, L.P.

BARCLAYS CAPITAL INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/2022

Series 63

Date: 1/22/2022

Series 79TO

Date: 2/7/2022

Series 7TO

Date: 1/21/2022

SIE

Date: 8/21/2021

Series 86

Date: 11/3/2007

Series 87

Date: 11/3/2007

Series 7

Date: 11/7/2001

Series 24

Date: 6/22/2024

FINRA

Current Firm

IVY CAPITAL MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

IVY CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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