Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Kenneth Kong is a financial advisor with over 25 years of experience in the industry. Peter is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has also held previous positions at Barclays Capital Inc., Thomas Weisel Partners LLC, Donaldson, Lufkin & Jenrette Securities Corporation and NationsBanc Montgomery Securities LLC. Peter holds Series 7 and Series 63 securities licenses, as well as a Series 65 investment advisor license. Peter specializes in providing portfolio management services to individuals, businesses and pension plans. Peter is a member of the California Tennis Club and the Pacific Rod and Gun Club.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NV
07/30/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (INCLINE VILLAGE NV)
CA
01/14/2011 - 06/17/2015
BARCLAYS CAPITAL INC. (SAN FRANCISCO CA)
CA
09/07/2000 - 01/27/2011
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NJ
09/30/1998 - 09/06/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
10/01/1997 - 10/07/1998
NATIONSBANC MONTGOMERY SECURITIES LLC (NEW YORK NY)
CA
09/06/1996 - 10/01/1997
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
IA
Issued 10/28/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/4/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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