DK
CFP
DK
CFP
Dolores Kong is a CFP-designated registered investment advisor, based in Boston, MA, with 24 years of industry experience.
Location
155 Federal St., 10th Floor, Boston, MA, 02110
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2017Settled
Customer Dispute
October 2016Settled
Other Business ActivitiesSells Insurance
Dolores is an IRS licensed enrolled agent for individual tax preparation, dedicating a few hours per week during tax season. She also owns AOMM Enterprises LLC, focused on hiking books and a blog, and an internet domain name, each requiring minimal time. Dolores is also an agent for B. Riley Wealth Insurance selling fixed insurance, dedicating a few hours per week.
Employment History
Current Registrations
B. Riley Wealth ManagementBroker
July 2022 - Present · 3 yrs 10 mos
B. Riley Wealth Management
July 2022 - Present · 3 yrs 10 mos
B. Riley Wealth Advisors, INC.
March 2021 - Present · 5 yrs 2 mos
Previous Registrations
National Securities CorporationBroker
March 2021 - July 2022 · 1 yr 4 mos
Winslow, Evans & Crocker, INC.
March 2005 - April 2021 · 16 yrs 1 mo
Winslow, Evans & Crocker, INC.Broker
February 2004 - April 2021 · 17 yrs 2 mos
Detwiler, Mitchell, Fenton & Graves, INC.Broker
November 2001 - February 2004 · 2 yrs 3 mos
State Registrations25 states
AZCACOCTDCDEFLHIILMAMDMENCNHNMNYORPARISDTXUTVAWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.