AW
Alex Wong
GRADIENT SECURITIES
Dublin, OH 43017
Some features on this profile are disabled
CRD#: 6781945
AW
Professional summary
Alex Wong Jr, who also goes by Alex Wong Jr, Alex Wong, is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Dublin, Ohio.
Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Alex has worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex Wong Jr | Alex 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. DBA SILVER BAY INSURANCE; INV RELATED; 6479 REFLECTIONS DRIVE, SUITE 230, DUBLIN, OH 43017; FIXED INSURANCE SALES; INSURANCE AGENT; START 12/2018; 80 HOURS PER MONTH, 80 HOURS DURING SECURITIES TRADING HOURS; INSURANCE SALES. 2. NEXTNET TECHNOLOGIES, LTD; NOT INV RELATED; 6479 REFLECTIONS DRIVE, SUITE 230, DUBLIN, OH 43017; SOFTWARE SALES; PRESIDENT; START 06/2002; 0 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS; BUSINESS IS NO LONGER ACTIVE. 3. SKY KING SUPPLIES, LLC; NOT INV RELATED; 6479 REFLECTIONS DRIVE, SUITE 230, DUBLIN, OH 43017; RETAIL SALES; PRESIDENT; START 06/2006; 0 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS; BUSINESS IS NO LONGER ACTIVE. 4. LASERSMITH INC; NOT INV RELATED; 6479 REFLECTIONS DRIVE, SUITE 230, DUBLIN, OH 43017; RETAIL SALES; PRESIDENT; START 12/1994; 0 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS; BUSINESS IS NOW PARKED FOR FUTURE USE. 5. DBA SILVER BAY WEALTH ADVISORS; INV RELATED; 6479 REFLECTIONS DRIVE, SUITE 230, DUBLIN, OH 43017; FINANCIAL SERVICES; REGISTERED REPRESENTATIVE; START 02/2018; DBA NAME USED FOR SECURITIES AND ADVISORY SERVICES. 6. ALEX WONG; NOT INV RELATED; 2259 STARLEAF LANE, COLUMBUS, OH 43235; RETAIL SALES; SALES REP; START 08/2020; 2 HOURS PER MONTH; 2 HOURS DURING SECURITIES TRADING HOURS; RETAIL SALES OF ELECTRONICS AND HARDWARE. 7. GATEWAY NOTARY; NOT INV RELATED; 2259 STARLEAF LANE, COLUMBUS, OH 43235; NOTARY; NOTARY; START 11/2023; 24 HOURS PER MONTH; 24 HOURS DURING SECURITIES TRADING HOURS; NOTARIZE DOCUMENTS. 8. ALEX WONG ADVERTISING; NOT INV RELATED; 2259 STARLEAF LANE, COLUMBUS, OH 43235; SOCIAL MEDIA ADVERTISING; OWNER; START 8/2025; 25 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; ASSISTS VARIOUS BUSINESSES WITH SOCIAL MEDIA ADVERTISING.
CRS (Client Relationship Summary) - RIA
Click below to view Alex Wong Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alex Wong Jr'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
January 26, 2018 - Present
GRADIENT SECURITIES, LLC
Office #1: 6479 Reflections Drive Suite 230, Dublin, OH 43017RIA
BD
CRD#: 127701
Dublin, OH
Current
January 26, 2018 - Present
GRADIENT SECURITIES, LLC
Office #1: 6479 Reflections Drive Suite 230, Dublin, OH 43017RIA
BD
CRD#: 127701
Dublin, OH
Past
May 3, 2017 - July 25, 2017
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
COLUMBUS, OH
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".
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Florida(8/10/2018)
RR
Florida(11/19/2024)
IAR
Illinois(2/6/2019)
RR
Illinois(9/27/2019)
RR
Indiana(9/24/2021)
IAR
Iowa(3/5/2018)
RR
Ohio(1/26/2018)
IAR
Ohio(1/26/2018)
IAR
Pennsylvania(1/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Mailing Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Phone number
(866) 991-1539
Established
Delaware since 04/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
