Michelle Kong
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.
Michelle Kong, who also goes by Tsz Meng Kong, Tsz Meng Kong, Tsz Meng Michelle Kong, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 2019. Michelle had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2020 - March 27, 2023
CITY NATIONAL ROCHDALE
April 23, 2020 - March 27, 2023
CNR SECURITIES, LLC
December 18, 2019 - March 25, 2020
J.P. MORGAN SECURITIES LLC
October 4, 2019 - October 15, 2019
PRUCO SECURITIES, LLC.
June 12, 2019 - July 5, 2019
PRUCO SECURITIES, LLC.
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
Exams
Series 7TO
Date: 6/13/2020
General Securities Representative ExaminationSeries 6TO
Date: 6/12/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
