CD
Chi J. Duong
IVY CAPITAL MANAGEMENT LLC
INDIANAPOLIS, IN 46202
Some features on this profile are disabled
CRD#: 2769225
CD
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.
1.) Kind Capital LLC; Not investment-related; 557 N College Ave, Ste 2, Indianapolis, IN, 46202; This entity provides consulting services related to impact investing.Founder & CEO / Owner; 02/01/2020; 20 hours per month, 0 during trading hours; I provide leadership and oversight, including consulting services on projects 2.) Kind Capital Advisors LLC; Not investment-related; 1557 N College Ave, Ste 2, Indianapolis, IN, 46202; This entity provides access to an expert network through a subscription and fractional executive services, consulting services that are NOT related to impact investing; Founder & CEO / Owner; 02/01/2022; 1 hr a WEEK on average; I provide leadership and oversight to members 3.) Kind Capital Securities LLC; investment-related; 1557 N College Ave, Ste 2, Indianapolis, IN, 46202; This entity provides any advisory or securities-related business connected to a broker-dealer affiliation (Finalis); Founder & CEO / Owner; 02/01/2022; 5- 15 hrs a week on average; I provide securities-related activities as an investment banker to clients and leadership for the firm 4.) Global Communities; Not investment-related; 7700 Wisconsin Ave #1100, Bethesda, MD, 20814; Non-Government Organization (NGO) that provides humanitarian aid in over 30 countries to development communities and refugees as well as microfinanceVice Chair Board Member, Investment Committee member / Volunteer; 10/01/2018; 2-10 hrs a MONTH on average; I provide leadership and oversight to the executive leadership team 5.) LEAP Together; Not investment-related201 S. DIVISION STREET, STE. 400, ANN ARBOR, MI, 48104Nonprofit I launched to support underserved entrepreneurs; Founder / Volunteer; 02/01/2021; 0 hours per month; I provide oversight 6.) Omnisicient Holdings, LLC; Not investment-related; 1557 N College Ave, Ste 2, Indianapolis, IN, 46202; This entity owns an AirBnB rental property managed by an outsourced property manager, and sells my self-published book on impact investing as well as hobby photography online. I also use this entity to make any personal investments.; Founder & CEO / Owner05/01/2016; Up to 5 hrs a MONTH on average; I don't spend time on this except when the property manager has questions about my property that need my attention
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®
NoneExperience
Current
October 9, 2024 - Present
IVY CAPITAL MANAGEMENT LLC
Office #1: 1557 N College Ave. #2, Indianapolis, IN 46202RIA
CRD#: 328984
INDIANAPOLIS, IN
Current
March 11, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003BD
CRD#: 305908
New York, NY
Past
January 21, 2022 - January 29, 2025
WEILD & CO.
BD
CRD#: 132398
BOULDER, CO
Past
June 25, 2010 - December 22, 2010
TAFFERER TRADING, LLC
BD
CRD#: 36816
NEW YORK, NY
Past
November 12, 2007 - July 9, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 9, 2004 - March 11, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 21, 2003 - September 27, 2004
RBC DANIELS, L.P.
BD
CRD#: 14073
DENVER, CO
Past
November 8, 2001 - February 6, 2003
BARCLAYS CAPITAL INC.
BD
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.RR
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
RR
California(5/1/2025)
RR
Connecticut(5/13/2025)
IAR
Indiana(10/9/2024)
RR
Indiana(3/11/2025)
IAR
Louisiana(11/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 2/7/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/21/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IC
IVY CAPITAL MANAGEMENT LLC
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
7
0
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.
