Ricardo Kong is a CFA-designated registered investment advisor, based in New York, NY, with 15 years of industry experience.
Location
400 Park Avenue, 10th Floor, New York, NY, 10022
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Ricardo is the founder and owner of Klothe, Inc., a clothing website, since 2017. He spends a few hours per week overseeing the website's development and strategy.
Employment History
Current Registrations
Cnr Securities, LLC
April 2023 - Present · 3 yrs 1 mo
RBC Rochdale, LLC
April 2023 - Present · 3 yrs 1 mo
Cnr Securities, LLCBroker
April 2023 - Present · 3 yrs 1 mo
Previous Registrations
City National Securities, INC.
March 2018 - April 2023 · 5 yrs 1 mo
City National Securities, INC.Broker
March 2018 - April 2023 · 5 yrs 1 mo
Hsbc Securities (USA) INC.
July 2016 - February 2018 · 1 yr 7 mos
Hsbc Securities (USA) INC.Broker
June 2016 - February 2018 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2015 - June 2016 · 1 yr 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2014 - June 2016 · 1 yr 8 mos
J.P. Morgan Securities LLCBroker
October 2012 - November 2014 · 2 yrs 1 mo
Chase Investment Services CORP.Broker
April 2010 - October 2012 · 2 yrs 6 mos
State Registrations18 states
ALAZCACOCTDCILKYMAMEMINHNJNVNYOHRITX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.