Jie Dong
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jie Dong, who also goes by Marcus Dong, was a registered financial professional .
Jie is a previously registered financial professional and started their career in finance in 2011. Jie had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2016 - June 21, 2016
INVESTMENT SECURITY CORPORATION
March 16, 2016 - December 31, 2020
FOCAL POINT CAPITAL MANAGEMENT
November 10, 2011 - March 18, 2016
NI ADVISORS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVESTMENT SECURITY CORPORATION
CRD#: 47536 / SEC#: , 8-51832
Contact information
FINRA licenses (8 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
