BW
Barry W. Wong
DIVERSIFY ADVISORY SERVICES
SANTA ROSA, CA 95403
Some features on this profile are disabled
CRD#: 2815798
BW
Professional summary
Barry William Wong, CFP® is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in Santa Rosa, California and DFPG INVESTMENTS, LLC located in Santa Rosa, California.
Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Barry has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) FIXED INSURANCE; NON-INVESTMENT RELATED; CALIFORNIA; FIXED INSURANCE SALES; AGENT; 08/2021; 1% DURING BUSINESS HOURS; OFFERING AND SELLING FIXED INSURANCE CONTRACTS
CRS (Client Relationship Summary) - RIA
Click below to view Barry William Wong'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®
CFP®
Start date: 2011
Experience
Current
October 3, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 3550 Round Barn Blvd Suite 212, Santa Rosa, CA 95403RIA
CRD#: 326060
SANTA ROSA, CA
Current
September 26, 2022 - Present
DFPG INVESTMENTS, LLC
Office #1: 3550 Round Barn Blvd Suite208, Santa Rosa, CA 95403BD
CRD#: 155576
SANTA ROSA, CA
Past
September 26, 2022 - December 31, 2023
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
SANTA ROSA, CA
Past
January 13, 2006 - September 28, 2022
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
FAIRFIELD, CA
Past
October 29, 2002 - September 28, 2022
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
FAIRFIELD, CA
Past
January 23, 2001 - February 21, 2003
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
June 23, 1999 - January 19, 2001
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
July 28, 1997 - July 1, 1999
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
October 29, 1996 - July 17, 1997
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 Approved)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
Arizona(2/15/2023)
RR
California(9/26/2022)
IAR
California(10/3/2023)
RR
Florida(2/28/2023)
RR
Idaho(7/31/2023)
RR
Nevada(9/26/2022)
RR
Oregon(9/26/2022)
RR
Tennessee(11/6/2023)
RR
Washington(9/26/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 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
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
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
DIVERSIFY ADVISORY SERVICES, LLC
CRD#: 326060Santa Rosa, CA 95403TRUST BUT VERIFY
Monitor Barry Wong
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
