KD
Ke M. Dao
ARKADIOS WEALTH ADVISORS
Raritan, NJ 08869
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CRD#: 3156914
KD
Professional summary
Ke Minh Dao is a registered financial advisor currently at ARKADIOS WEALTH ADVISORS located in Raritan, New Jersey and ARKADIOS CAPITAL located in Somerville, New Jersey.
Ke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Ke has worked at 7 firms and has passed the Series 66, SIE and Series 7 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)Rivertan Financial Group,LLC;investment related;575 Route 28,Suite 201,Raritan,NJ 08869;investment advisory & insurance planning;president;11/16/2011;40 hrs/month;6.5 hrs during trading;prospect for clients,open,close,and review appointments
2)Rivertan Risk Management,LLC;not investment related;575 Route 28,Suite 201,Raritan,NJ 08869;insurance planning & group benefits;producer/president;7/1/2015;15 hrs/month;6.5 hrs during trading;prospect for clients,open,close and review appointments
CRS (Client Relationship Summary) - RIA
Click below to view Ke Minh Dao'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
September 18, 2019 - Present
ARKADIOS WEALTH ADVISORS
Office #1: 575 Route 28 Suite 201, Raritan, NJ 08869RIA
CRD#: 288863
Raritan, NJ
Current
September 16, 2019 - Present
ARKADIOS CAPITAL
Office #1: 139 West End Ave, Somerville, NJ 08876BD
CRD#: 282710
Somerville, NJ
Past
November 16, 2011 - September 16, 2019
TRIAD ADVISORS LLC
RIA
CRD#: 25803
RARITAN, NJ
Past
November 16, 2011 - September 16, 2019
TRIAD ADVISORS LLC
BD
CRD#: 25803
RARITAN, NJ
Past
November 29, 2007 - November 29, 2011
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
ISELIN, NJ
Past
June 19, 2007 - November 29, 2011
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
ISELIN, NJ
Past
March 10, 2003 - June 20, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SUMMIT, NJ
Past
September 17, 2002 - October 11, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PRINCETON, NJ
Past
August 21, 2002 - October 11, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 21, 2002 - October 11, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
AW
ARKADIOS WEALTH ADVISORS
1031 SOLUTIONS | ZIMCO CAPITAL | WHITESTONE WEALTH MANAGEMENT | WHEELER WEALTH | WEBB GARNER | WEALTHSTONE GROUP | WEALTH ARCHITECTS, INC. | TUCKER INVESTMENT COUNSEL | TNT FINANCIAL SERVICES, LLC | THOMPSON/PRATT CAPITAL MANAGEMENT LLC | THE OAK FINANCIAL GROUP | TEXAS REGIONAL BANK | TBAER WEALTH MANAGEMENT | STRIVE FINANCIAL | STEWARDSHIP WEALTH MANAGEMENT | SR BROWN FINANCIAL SERVICES | SOUTHPARK CAPITAL | SINCLAIR FINANCIAL | SHEPPARD MOSHER WEALTH MANAGEMENT | SELECT WEALTH ADVISORS LLC | SECURA WEALTH MANAGEMENT | RUSSELL TOTAL WEALTH AND WELLNESS | RIVERTAN FINANCIAL | REVOLUTION X | RESOURCE INVESTMENT ARCHITECTS | RBG CAPITAL | RANGER WEALTH | PROXIMITY FINANCIAL PARTNERS | PRESERVATION SPECIALISTS, LLC | PIEDMONT WEALTH PARTNERS | PERSONAL PORTFOLIOS | PERCH WEALTH | PEAK RETIREMENT GROUP | PARRY FINANCIAL ADVISORS | OAK FINANCIAL ADVISORS | NGC GLOBAL WEALTH MANAGEMENT | MOORE INVESTED | MONARCH CAPITAL ADVISORS | MCFARLIN CAPITAL, LLC | MATRIX WEALTH MANAGEMENT | KLESTINSKI RAPP MARMITT INVESTMENT COUNSEL | KINSHIP WEALTH PARTNERS | KG WEALTH | KEYSTONE CAPITAL PARTNERS GROUP | INTEGRITY FINANCIAL | HOLOS INTEGRATED WEALTH | HERITAGE PENSION ADVISORS | HARVEST WEALTH ADVISORS | GULF COAST WEALTH MANAGEMENT | GREGG LENTZ & ASSOCIATES | G.L. SMITH AND ASSOCIATES | FOUNDATION FINANCIAL GROUP | FORESIGHT FINANCIAL PARTNERS | EXCLUSIVE FINANCIAL RESOURCES | EXCLUSIVE ADVISORS LLC | EAST PACES GROUP | DOWNEAST PRIVATE WEALTH | CREATIVE CAPITAL WEALTH MANAGEMENT | CORBET CAPITAL | CLOVER CAPITAL PARTNERS | BOB BURKE FINANCIAL SERVICES | BLUECHIP WEALTH ADVISORS | BERG FINANCIALS | BANDER WEALTH MANAGEMENT | ARKADIOS WEALTH ADVISORS LLC | ARKADIOS WEALTH ADVISORS | AKERS FINANCIAL GROUP | AIM ADVISERS
CRD#: 288863 / SEC#: 801-110833
RIA
Registered Investment Advisory firm - (7/17/2017 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
Alaska(9/17/2019)
RR
California(9/17/2019)
RR
Colorado(1/8/2024)
RR
Connecticut(9/17/2019)
RR
Florida(9/17/2019)
RR
Georgia(8/22/2025)
RR
Massachusetts(9/18/2019)
RR
New Jersey(9/16/2019)
IAR
New Jersey(9/20/2019)
RR
New York(9/17/2019)
RR
North Carolina(9/17/2019)
RR
North Dakota(10/8/2019)
RR
Pennsylvania(9/17/2019)
RR
South Carolina(9/17/2019)
RR
Texas(9/17/2019)
IAR
Texas(9/18/2019)
RR
Virginia(11/9/2019)
RR
West Virginia(9/17/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARKADIOS WEALTH ADVISORS
1031 SOLUTIONS | ZIMCO CAPITAL | WHITESTONE WEALTH MANAGEMENT | WHEELER WEALTH | WEBB GARNER | WEALTHSTONE GROUP | WEALTH ARCHITECTS, INC. | TUCKER INVESTMENT COUNSEL | TNT FINANCIAL SERVICES, LLC | THOMPSON/PRATT CAPITAL MANAGEMENT LLC | THE OAK FINANCIAL GROUP | TEXAS REGIONAL BANK | TBAER WEALTH MANAGEMENT | STRIVE FINANCIAL | STEWARDSHIP WEALTH MANAGEMENT | SR BROWN FINANCIAL SERVICES | SOUTHPARK CAPITAL | SINCLAIR FINANCIAL | SHEPPARD MOSHER WEALTH MANAGEMENT | SELECT WEALTH ADVISORS LLC | SECURA WEALTH MANAGEMENT | RUSSELL TOTAL WEALTH AND WELLNESS | RIVERTAN FINANCIAL | REVOLUTION X | RESOURCE INVESTMENT ARCHITECTS | RBG CAPITAL | RANGER WEALTH | PROXIMITY FINANCIAL PARTNERS | PRESERVATION SPECIALISTS, LLC | PIEDMONT WEALTH PARTNERS | PERSONAL PORTFOLIOS | PERCH WEALTH | PEAK RETIREMENT GROUP | PARRY FINANCIAL ADVISORS | OAK FINANCIAL ADVISORS | NGC GLOBAL WEALTH MANAGEMENT | MOORE INVESTED | MONARCH CAPITAL ADVISORS | MCFARLIN CAPITAL, LLC | MATRIX WEALTH MANAGEMENT | KLESTINSKI RAPP MARMITT INVESTMENT COUNSEL | KINSHIP WEALTH PARTNERS | KG WEALTH | KEYSTONE CAPITAL PARTNERS GROUP | INTEGRITY FINANCIAL | HOLOS INTEGRATED WEALTH | HERITAGE PENSION ADVISORS | HARVEST WEALTH ADVISORS | GULF COAST WEALTH MANAGEMENT | GREGG LENTZ & ASSOCIATES | G.L. SMITH AND ASSOCIATES | FOUNDATION FINANCIAL GROUP | FORESIGHT FINANCIAL PARTNERS | EXCLUSIVE FINANCIAL RESOURCES | EXCLUSIVE ADVISORS LLC | EAST PACES GROUP | DOWNEAST PRIVATE WEALTH | CREATIVE CAPITAL WEALTH MANAGEMENT | CORBET CAPITAL | CLOVER CAPITAL PARTNERS | BOB BURKE FINANCIAL SERVICES | BLUECHIP WEALTH ADVISORS | BERG FINANCIALS | BANDER WEALTH MANAGEMENT | ARKADIOS WEALTH ADVISORS LLC | ARKADIOS WEALTH ADVISORS | AKERS FINANCIAL GROUP | AIM ADVISERS
CRD#: 288863 / SEC#: 801-110833
RIA
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Contact information
Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
Phone number
(404) 445-0035
Established
Firm type
Fiscal year end
# of Employees
188
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,091 |
| AUM (Assets Under Management) | $ 3,856,398,203 |
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.
