Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ricardo? Claim Your ProfileRicardo Kong is a financial advisor at City National Rochdale. Ricardo has been working in the financial services industry since April 2010. Ricardo has a strong background in investments and has held positions at a number of reputable firms, including HSBC Securities (USA) Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Ricardo holds the Series 6, 7, 63 and 65 licenses, as well as the SIE exam. Ricardo specializes in portfolio management for individuals, businesses, investment companies and pooled investment vehicles.
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.
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.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
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2
NY
05/22/2023 - Present
City National Rochdale (NEW YORK NY)
NY
03/01/2018 - 04/19/2023
CITY NATIONAL SECURITIES, INC. (NEW YORK NY)
NY
06/30/2016 - 02/23/2018
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
10/29/2014 - 06/16/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREAT NECK NY)
NY
10/01/2012 - 11/12/2014
J.P. MORGAN SECURITIES LLC (BROOKLYN NY)
NY
04/01/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (BROOKLYN NY)
IA
Issued 12/30/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/2014
Series 7 - General Securities Representative Examination
BC
Issued 03/31/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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