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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Kingsley Wong

Advisor at CETERA INVESTMENT ADVISERS LLC

PASADENA, CA

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Search this name across graphsid dfx:ria:aad2a6a1-cd5a-33ad-6e40-1b1d69d13a80

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 6, 2017 to Sep 14, 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: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 26, 2017
First registration: Jun 6, 2017
Dual registered: yes, broker-dealer
Other names: Kingsley King Mun Wong|KINGSLEY WONG|Kingsley King Mun Wong|Kingsley K. Wong|Kingsley King Mun Wong|Kingsley Wong
IAPD individual key: 6420298

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 26, 2026	n/a	yes	PASADENA, CA	Current employment
TAMAR SECURITIES, LLC	Independent wealth	Sep 16, 2024	Apr 10, 2026	no	WOODLAND HILLS, CA	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Aug 2, 2022	Aug 21, 2024	no	LOS ANGELES, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jun 6, 2017	Dec 31, 2021	no	Irvine, CA\|CHATSWORTH, CA\|CHATSWORTH, CA\|NEW YORK, NY\|OLYMPIA, WA\|Northridge, CA	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
TAMAR SECURITIES, LLC	CETERA INVESTMENT ADVISERS LLC	Apr 10, 2026	Mar 26, 2026	-15	Firm change	RIA to ibd
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	TAMAR SECURITIES, LLC	Aug 21, 2024	Sep 16, 2024	26	Firm change	Other
J.P. MORGAN SECURITIES LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Dec 31, 2021	Aug 2, 2022	214	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Mar 26, 2026 to presentfactForm ADV
→ TAMAR SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 16, 2024 to Apr 10, 2026factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Aug 2, 2022 to Aug 21, 2024factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jun 6, 2017 to Dec 31, 2021factForm ADV

Dated events

Occurred
Apr 10, 2026
Advisor changed firm
Kingsley Wong left Tamar Securities, Llc for Cetera Investment Advisers Llc (registered 2026-03-26)
Form ADVobserved 6 days ago
Occurred
Aug 21, 2024
Advisor changed firm
Kingsley Wong left Northwestern Mutual Investment Services,Llc for Tamar Securities, Llc (registered 2024-09-16)
Form ADVobserved 6 days ago