Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rong? Claim Your ProfileRong Diao is a financial professional with over 9 years of experience in the financial services industry. Rong is currently registered with J.P. Morgan Securities LLC, where they are a Registered Representative. Rong's previous experience includes working with Raymond James & Associates, Inc. and MetLife Securities Inc. Rong has Series 6, 7, 63 and 66 licenses as well as the Securities Industry Essentials (SIE) exam. Rong is currently licensed in over 30 states and has specialized in various financial products and services including fixed income, mutual funds, variable annuities, and other insurance products.
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
NJ
07/11/2022 - Present
J.p. Morgan Securities LLC (LAKE HIAWATHA NJ)
NJ
07/29/2019 - 07/07/2022
RAYMOND JAMES & ASSOCIATES, INC. (MORRISTOWN NJ)
NJ
09/26/2016 - 05/24/2019
J.P. MORGAN SECURITIES LLC (LIVINGSTON, NJ)
NJ
03/11/2005 - 04/16/2007
METLIFE SECURITIES INC. (EDISON NJ)
NJ
03/11/2005 - 04/16/2007
METROPOLITAN LIFE INSURANCE COMPANY (EDISON NJ)
BOTH
Issued 11/30/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/10/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/01/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 02/01/2005
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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