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KW

Kingsley K. Wong

TAMAR SECURITIES
Woodland Hills, CA 91364
Some features on this profile are disabled
CRD#: 6420298
KW

Professional summary

Kingsley K. Wong, who also goes by Kingsley Wong, Kingsley K. Wong, Kingsley King Mun Wong, is a registered financial advisor currently at TAMAR SECURITIES, LLC located in Woodland Hills, California and PURSHE KAPLAN STERLING INVESTMENTS located in Woodland Hills, California.

Kingsley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Kingsley has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kingsley Wong | Kingsley K. Wong | Kingsley King Mun Wong

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. Tamar Securities, LLC. Investment Related. At the registered location. RIA. Investment Advisors. Director of Compliance. 08/2024. 160. 8. Trading and compliance. 2. Real Estate Rentals. Not investment related. At the reported locations. Investment property. Owner. 50% owner.09/11/2024.0.1. Residential Rental Property 3. FINRA Arbitrator. Investment Related. 200 Liberty St, NY, NY, 10281.Non-public Arbitrator. 06/01/2018.1.1. Listed on roster for non-public arbitrator with FINRA 4. Sound Engineer. Not Investment Related. At residential location. Other. Sound and Lighting Engineer. Owner.11/2023.1.1.Help operate sound system at my church on a volunteer basis, and may occasionally receive payment for event(s).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kingsley K. Wong'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®
None

Experience

Current

September 16, 2024 - Present

TAMAR SECURITIES, LLC

Office #1: 22466 Ventura Boulevard, Woodland Hills, CA 91364
RIA
CRD#: 153991
Woodland Hills, CA
Current

October 1, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 22466 Ventura Blvd, Woodland Hills, CA 91364
BD
CRD#: 35747
Woodland Hills, CA
Past

August 2, 2022 - August 21, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
LOS ANGELES, CA
Past

August 2, 2022 - August 21, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
LOS ANGELES, CA
Past

June 6, 2017 - December 31, 2021

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Northridge, CA
Past

February 5, 2016 - June 28, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 19, 2015 - January 13, 2016

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
PASADENA, CA

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".
TS
TAMAR SECURITIES, LLC
911 FINANCIAL SERVICES | TAMAR SECURITIES, LLC | TAMAR INSURANCE SOLUTIONS | FIREFIGHTERS UNITED FINANCIAL SERVICES

CRD#: 153991 / SEC#: 801-71532

RIA
Registered Investment Advisory firm - (6/11/2010 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

IAR
California
(9/16/2024)
RR
California
(10/1/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/26/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 9/19/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/12/2022
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/10/2020
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/20/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TAMAR SECURITIES, LLC
911 FINANCIAL SERVICES | TAMAR SECURITIES, LLC | TAMAR INSURANCE SOLUTIONS | FIREFIGHTERS UNITED FINANCIAL SERVICES

CRD#: 153991 / SEC#: 801-71532

RIA
Registered Investment Advisory firm - (6/11/2010 Approved)
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Contact information

Main Address
22466 Ventura Boulevard, Woodland Hills, CA 91364
Mailing Address
Phone number
(818) 914-7460
Established
Firm type
Fiscal year end
# of Employees
18

SEC notice filing (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TAMAR SECURITIES, LLC ADV PART 2A BROCHURE (3/31/2025)
TAMAR SECURITIES, LLC TAM WRAP BROCHURE (3/31/2025)
TAMAR SECURITIES, LLC FIP WRAP BROCHURE (3/31/2025)
TAMAR SECURITIES, LLC MVS WRAP BROCHURE (3/31/2025)
TAMAR SECURITIES, LLC TAV WRAP BROCHURE (3/31/2025)
TAMAR SECURITIES, LLC TAF WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts6,262
AUM (Assets Under Management)$ 1,302,372,142

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.

Company Information

TAMAR SECURITIES, LLC

CRD#: 153991Woodland Hills, CA 91364

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