Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Di? Claim Your ProfileDi Dong is a financial professional with over 20 years of experience in the industry. Di has a strong background in securities, having held various roles at firms such as E*TRADE Securities LLC, E*TRADE Clearing LLC, and Bancwest Investment Services, Inc. Di is currently a registered representative with LPL Financial LLC, and specializes in providing financial planning, portfolio management, and consulting services to individuals, corporations, and other businesses. Di holds Series 7, 63, 4, 24, SIE, and 99TO licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
09/03/2024 - Present
LPL Financial LLC (SACRAMENTO CA)
SC
10/17/2023 - 08/13/2024
LPL FINANCIAL LLC (FORT MILL SC)
CA
08/30/2013 - 07/28/2023
BANCWEST INVESTMENT SERVICES, INC. (SACRAMENTO CA)
NJ
12/09/2010 - 03/06/2013
E*TRADE CLEARING LLC (JERSEY CITY NJ)
NJ
06/07/2001 - 03/06/2013
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
BC
Issued 07/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/18/2007
Series 4 - Registered Options Principal Examination
BC
Issued 05/16/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/17/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Di Dong is the right advisor for you? Invested Better is here to help.
