Raymond Zong

GLOBAL WEALTH MANAGEMENT

LANSDALE, PA 19446

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CRD#: 2989049

Professional summary

Raymond Zong, who also goes by Raymond Zong, Ray Zong, is a registered financial advisor currently at GLOBAL WEALTH MANAGEMENT, LLC located in Lansdale, Pennsylvania.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Raymond has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Raymond Zong | Ray Zong

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.

Real Estate, Life & Health Insurance GA & etc

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Zong'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

May 10, 2024 - Present

GLOBAL WEALTH MANAGEMENT, LLC

Office #1: 1690 Sumneytown Pike Suite 250, Lansdale, PA 19446

RIA

CRD#: 330349

LANSDALE, PA

Past

July 26, 2022 - January 12, 2024

NI ADVISORS

RIA

CRD#: 134502

Lansdale, PA

Past

July 26, 2022 - January 12, 2024

NI ADVISORS

CRD#: 134502

MILPITAS, CA

Past

January 5, 2018 - July 27, 2020

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

Landsdale, PA

Past

June 9, 2015 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

PHILADELPHIA, PA

Past

June 9, 2015 - July 27, 2020

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029

Lansdale, PA

Past

November 30, 2012 - June 5, 2015

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

LANSDALE, PA

Past

November 30, 2012 - June 5, 2015

KOVACK SECURITIES INC.

CRD#: 44848

LANSDALE, PA

Past

May 22, 2012 - October 22, 2012

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

LANSDALE, PA

Past

May 18, 2012 - November 21, 2012

LPL FINANCIAL LLC

CRD#: 6413

LANSDALE, PA

Past

August 18, 2006 - May 22, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ELKIN PARK, PA

Past

August 18, 2006 - May 22, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ELKIN PARK, PA

Past

December 20, 2002 - September 5, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PHILADELPHIA, PA

Past

December 20, 2002 - September 5, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PHILADELPHIA, PA

Past

June 4, 2002 - December 10, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LAWRENCEVILLE, NJ

Past

May 10, 2001 - December 10, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 3, 1998 - October 22, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(5/10/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/26/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/8/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/9/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/30/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GLOBAL WEALTH MANAGEMENT, LLC

CRD#: 330349 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (5/9/2024 Approved)

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Contact information

Main Address

1690 Sumneytown Pike Suite 250, Lansdale, PA 19446

Mailing Address

Phone number

(484) 380-5290

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

Raymond Zong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Zong's CRS (Customer Relationship Summary).

Certified licenses

Experience

NI ADVISORS

NI ADVISORS

NPA ASSET MANAGEMENT, LLC

NPA ASSET MANAGEMENT, LLC

NATIONWIDE PLANNING ASSOCIATES INC.

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2001

Series 63

Date: 7/10/1998

SIE

Date: 10/1/2018

Series 31

Date: 6/8/2001

Series 7

Date: 5/9/2001

Series 6

Date: 12/30/1997

Current Firm

GLOBAL WEALTH MANAGEMENT, LLC

Contact information

Documents

Red Flags

Company Information

GLOBAL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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