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Wendy Kong

Brookfield Oaktree Wealth Solutions LLC

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About Wendy Kong

Wendy Kong is a financial advisor with over 20 years of experience in the industry. Wendy is currently registered with Brookfield Oaktree Wealth Solutions LLC. Wendy previously worked with Brookfield Private Advisors LLC, BFIN Securities US LLC, Morgan Stanley, Assent LLC, J.P.Morgan Securities Inc., Goldman, Sachs & Co., Knight Securities, L.P., and Prudential Securities Incorporated. Wendy is also a Series 7, Series 24, Series 4, Series 55, Series 63, Series 57TO, Series 14 and SIE licensed financial advisor.

Firm Information

Wendy Kong is currently registered with Brookfield Oaktree Wealth Solutions LLC. Brookfield Oaktree Wealth Solutions LLC is a Limited Liability Company formed on February 4, 2021. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

9

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Wendy Kong’s Registration & Firm History

NY

09/28/2023 - Present

Brookfield Oaktree Wealth Solutions LLC (New York NY)

NY

03/07/2018 - 10/25/2023

BROOKFIELD PRIVATE ADVISORS LLC (NEW YORK NY)

GA

02/23/2018 - 10/10/2018

BFIN SECURITIES US LLC (ALPHARETTA GA)

NY

06/01/2010 - 01/02/2018

MORGAN STANLEY (PURCHASE NY)

NJ

04/14/2009 - 04/05/2010

ASSENT LLC (JERSEY CITY NJ)

NY

08/28/2006 - 10/16/2008

J.P.MORGAN SECURITIES INC. (NEW YORK NY)

NY

09/06/2000 - 11/28/2005

GOLDMAN, SACHS & CO. (NEW YORK NY)

NJ

04/12/2000 - 08/17/2000

KNIGHT SECURITIES, L.P. (JERSEY CITY NJ)

NY

01/01/1996 - 05/14/1996

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/02/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 05/29/2007

Series 4 - Registered Options Principal Examination

BC

Issued 06/04/2004

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/22/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/22/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Wendy Kong.
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