Jay C. Fong

CONCENTRUM WEALTH MANAGEMENT

San Jose, CA 95138

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CRD#: 3242313

Professional summary

Jay Christopher Fong, CFP® is a registered financial advisor currently at CONCENTRUM WEALTH MANAGEMENT located in San Jose, California and PURSHE KAPLAN STERLING INVESTMENTS located in San Jose, California.

Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jay has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 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.

CONCENTRUM WEALTH MANAGEMENT LLC - RIA - 353 PIERCY RD. SAN JOSE, CA 95138 - OWNER - 4/19/13 - 160 HRS/ MONTH PKS FINANCIAL SERVICES-INVESTEMENT RELATED, 80 STATE ST, ALBANY, NY 12207. 5/3/2013-PRESENT AGENT, FIXED INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Christopher Fong's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2007

Experience

Current

April 19, 2013 - Present

CONCENTRUM WEALTH MANAGEMENT

Office #1: 353 Piercy Road, San Jose, CA 95138

RIA

CRD#: 167151

San Jose, CA

Current

April 19, 2013 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 353 Piercy Road, San Jose, CA 95138

CRD#: 35747

San Jose, CA

Past

March 5, 2009 - April 25, 2013

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

SAN JOSE, CA

Past

March 5, 2009 - April 25, 2013

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

SAN JOSE, CA

Past

January 1, 2008 - March 6, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN JOSE, CA

Past

January 1, 2008 - March 6, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN JOSE, CA

Past

April 13, 2006 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SAN JOSE, CA

Past

April 13, 2006 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

SAN JOSE, CA

Past

June 18, 2001 - April 25, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN JOSE, CA

Past

February 5, 2001 - April 25, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN JOSE, CA

Past

July 21, 1999 - February 7, 2001

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

CONCENTRUM WEALTH MANAGEMENT

CONCENTRUM WEALTH MANAGEMENT | CONCENTRUM WEALTH MANAGEMENT, LLC | CONCENTRUM WEALTH MANAGEMENT, INC.

CRD#: 167151 / SEC#: 801-77888

RIA

Registered Investment Advisory firm - (4/19/2013 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.

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

Alaska
(10/15/2021)

Arizona
(1/4/2017)

Arkansas
(5/8/2013)

California
(4/19/2013)

IAR

California
(4/19/2013)

Delaware
(4/25/2013)

Nevada
(4/19/2013)

New York
(1/13/2020)

Oregon
(1/10/2017)

Tennessee
(1/6/2020)

Texas
(4/19/2013)

IAR

Texas
(1/30/2014)

Washington
(6/12/2020)

Wyoming
(1/9/2019)

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: 5/30/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/1999

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: 12/3/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/20/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CONCENTRUM WEALTH MANAGEMENT

CONCENTRUM WEALTH MANAGEMENT | CONCENTRUM WEALTH MANAGEMENT, LLC | CONCENTRUM WEALTH MANAGEMENT, INC.

CRD#: 167151 / SEC#: 801-77888

RIA

Registered Investment Advisory firm - (4/19/2013 Approved)

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Contact information

Main Address

353 Piercy Road, San Jose, CA 95138

Mailing Address

Phone number

(408) 840-4030

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWM - ADV PART 2A FIRM BROCHURE (3/28/2025)

CWM - ADV PART 2A, APP 1 - WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,334
AUM (Assets Under Management)	$ 809,340,733

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jay C. Fong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Christopher Fong's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CONCENTRUM WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/30/2001

Series 63

Date: 10/29/1999

SIE

Date: 10/1/2018

Series 31

Date: 12/3/2004

Series 7

Date: 7/20/1999

FINRA

Current Firm

CONCENTRUM WEALTH MANAGEMENT

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONCENTRUM WEALTH MANAGEMENT

TRUST BUT VERIFY

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