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Alex Wong Jr

GRADIENT SECURITIES

Dublin, OH

·CRD# 6781945·9 years experience

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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Alex Wong Jr, Alex Wong

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

9 years in the financial services industry

Current & Past Employments

GRADIENT SECURITIES, LLC·CRD# 127701

RIA

BD

6479 Reflections Drive Suite 230, Dublin, OH 43017

January 26, 2018 - Present

GRADIENT SECURITIES, LLC·CRD# 127701

RIA

BD

6479 Reflections Drive Suite 230, Dublin, OH 43017

January 26, 2018 - Present

ALLSTATE FINANCIAL SERVICES, LLC·CRD# 18272

BD

Columbus, OH

May 3, 2017 - July 25, 2017

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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)

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

67

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

GWM ADV PART 2A & 2B (4/13/2026)

Direct owners and executive officers

Name	Position	CRD#
MERAKI PRIVATE EQUITY, LLC	OWNER	—
JOCHUM, JAMIE LEE	FINOP	4459768
NELSON, ROBERT SCOTT	PRESIDENT & ELECTED MANAGER	4237080
REMME, BRIAN ANDREW	CHIEF COMPLIANCE OFFICER	3103459

Regulatory Assets Under Management

Total Number of Accounts

5,848

AUM (Assets Under Management)

$607,877,168

Disclosures

Regulatory Event

1

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

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

Kentucky
(12/4/2025)

RR

Ohio
(1/26/2018)

IAR

Ohio
(1/26/2018)

IAR

Pennsylvania
(1/26/2021)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2019About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2018About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 2017About the Series 6 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Alex Wong Jr's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Alex Wong Jr's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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AW

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