Ricardo Kong
Professional summary
Ricardo Kong, who also goes by Ricardo A Kong, Ricardo Anthony Kong, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in New York, New York and CNR SECURITIES, LLC located in New York, New York.
Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Ricardo has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Ricardo Kong's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2023 - Present
CITY NATIONAL ROCHDALE
Office #1: 400 Park Avenue 7th Floor, New York, NY 10022April 17, 2023 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022March 2, 2018 - April 19, 2023
CITY NATIONAL SECURITIES, INC.
March 1, 2018 - April 19, 2023
CITY NATIONAL SECURITIES, INC.
July 1, 2016 - February 23, 2018
HSBC SECURITIES (USA) INC.
June 30, 2016 - February 23, 2018
HSBC SECURITIES (USA) INC.
January 5, 2015 - June 16, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 2014 - June 16, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2012 - November 12, 2014
J.P. MORGAN SECURITIES LLC
April 1, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
