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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

KWAN-ROK KONG

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Great Neck, NY | Garden City, NY

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Search this name across graphsid dfx:ria:28d592d2-124f-1e2c-7f83-6c4ccbb9d9b8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 7, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 16, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 16, 2007
First registration: Sep 7, 2007
Dual registered: yes, broker-dealer
Other names: CALVIN KONG
IAPD individual key: 5288982

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 16, 2018	n/a	yes	Garden City, NY\|Great Neck, NY	Current employment
MORGAN STANLEY	Wirehouse	Aug 29, 2013	Nov 16, 2018	no	GREAT NECK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 26, 2012	Aug 29, 2013	no	FOREST HILLS, NY	Previous registration
EDWARD JONES	National bd RIA	Sep 7, 2007	Jun 25, 2012	no	ST LOUIS, MO\|BAYSIDE, NY\|FLUSHING, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 16, 2018	Nov 16, 2018	0	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Aug 29, 2013	Aug 29, 2013	0	Firm change	Wirehouse to wirehouse
EDWARD JONES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 25, 2012	Jun 26, 2012	1	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 16, 2018 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 29, 2013 to Nov 16, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 26, 2012 to Aug 29, 2013factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Sep 7, 2007 to Jun 25, 2012factForm ADV

Dated events

No dated event names this entity yet.