Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Dong is a financial advisor who has been in the industry since 1998. Currently, Louis Dong is a registered representative of J.p. Morgan Securities LLC and a licensed investment advisor representative of J.p. Morgan Securities LLC. Louis Dong has worked with various firms over the years including Chase Investment Services Corp. and WAMU INVESTMENTS, INC.. Louis Dong is licensed in several states including Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Nevada, New York, Ohio, Oklahoma, Oregon, South Carolina, Texas, Utah and Washington. Louis Dong specializes in providing financial advice to high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, charitable organizations, insurance companies and labor unions. Louis Dong also provides investment advice to pension and profit sharing plans.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
06/29/2021 - Present
J.p. Morgan Securities LLC (BREA CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (BREA CA)
CA
07/16/2003 - 05/02/2009
WAMU INVESTMENTS, INC. (HACIENDA HEIGHTS CA)
MA
05/31/2001 - 08/04/2003
SIGNATOR INVESTORS, INC. (BOSTON MA)
CA
08/19/1998 - 03/30/2001
U. S. PACIFIC FINANCIAL SERVICES, INC. (ALHAMBRA CA)
IA
Issued 11/05/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/07/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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