Kenneth Wong

OSAIC WEALTH

PARK RIDGE, IL 60068

Some features on this profile are disabled

CRD#: 7533646

Professional summary

Kenneth Wong is a registered financial advisor currently at OSAIC WEALTH, INC. located in Park Ridge, Illinois.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Kenneth has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. MORAN-HAVANSEK FINANCIAL GROUP - DBA 2. ALL DONE EVENTS LLC POSITION: Principal NATURE: Event planning and production services. INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 7 START DATE: 01/09/2012 ADDRESS: 404 N. Lincoln Avenue, Park Ridge IL 60068 DESCRIPTION: Provide pre-event planning and on-site logistical support for live events. 3. KENNETH WONG, INSURANCE AGENT POSITION: Owner NATURE: Insurance Producer INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2021 ADDRESS: 404 N. Lincoln Avenue, Park Ridge IL 60068 DESCRIPTION: Act as insurance producer for clients seeking various life & health insurance products. 4. KENNETH WONG, PRODUCTION ASSISTANT POSITION: Owner NATURE: Production Assistant INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 11/03/2022 ADDRESS: 404 N. Lincoln Avenue, Park Ridge IL 60068 DESCRIPTION: Provide production and logistics assistance for various live events. 5. KENNETH WONG POSITION: Owner NATURE: Residential Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2019 ADDRESS: 94-30 60th Avenue, Apt. 3G, Elmhurst NY 11373 DESCRIPTION: Renting former residence 6. VASSAR CLUB OF CHICAGO POSITION: Board Member NATURE: Vassar College Alumnae/I Association for greater Chicagoland area INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/23/2022 ADDRESS: 161 College Avenue, Box 14, Poughkeepsie NY 12603 DESCRIPTION: Be primary point of contact between Vassar College's Career Services Office and the Vassar Club of Chicago. Organize social, educational and career networking events for the benefit of local alumnae/i. 7. KENNETH WONG, INSURANCE AGENT POSITION: Owner NATURE: Insurance Producer INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2021 ADDRESS: 404 N. Lincoln Avenue, Park Ridge IL 60068, United States DESCRIPTION: Act as insurance producer for clients seeking various life & health insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kenneth 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

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1580 N Northwest Hwy Ste 15, Park Ridge, IL 60068

RIA

CRD#: 23131

PARK RIDGE, IL

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1580 N Northwest Hwy Ste 15, Park Ridge, IL 60068

RIA

CRD#: 23131

PARK RIDGE, IL

Past

January 9, 2023 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

PARK RIDGE, IL

Past

January 9, 2023 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

PARK RIDGE, IL

Past

July 6, 2022 - January 10, 2023

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

CHICAGO, IL

Past

July 1, 2022 - January 10, 2023

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

CHICAGO, IL

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Arizona
(6/14/2024)

Colorado
(6/14/2024)

Florida
(6/14/2024)

Georgia
(6/14/2024)

Illinois
(6/14/2024)

IAR

Illinois
(6/14/2024)

Indiana
(6/14/2024)

Kansas
(6/14/2024)

Michigan
(6/14/2024)

Minnesota
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

Ohio
(6/14/2024)

Pennsylvania
(6/14/2024)

Texas
(6/14/2024)

IAR

Texas
(6/19/2024)

Virginia
(6/14/2024)

Washington
(6/14/2024)

Wisconsin
(6/14/2024)

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

State Security Law Exam

Series 63

Date: 7/5/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/11/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/1/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/30/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kenneth Wong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/5/2022

Series 65

Date: 2/11/2022

Series 7TO

Date: 7/1/2022

SIE

Date: 12/30/2021

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors