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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Flora Dong

Advisor at ARDEN GLOBAL FAMILY OFFICES

PALO ALTO, CA

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Search this name across graphsid dfx:ria:d0f9ce86-d6ae-4981-9f06-749a84f0e5f1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 30, 1999 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: ARDEN GLOBAL FAMILY OFFICES
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 9, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S65
First exam: Jul 9, 1999
First registration: Sep 30, 1999
Dual registered: yes, broker-dealer
Other names: FLORA DONG|JIANTAO DONG
IAPD individual key: 3232763

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
ARDEN GLOBAL FAMILY OFFICES	Independent wealth	Jul 10, 2025	n/a	yes	PALO ALTO, CA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 28, 2008	May 21, 2025	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|PALO ALTO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 8, 2003	Dec 2, 2008	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 30, 1999	Sep 10, 2003	no	PLEASANTON, 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
UBS FINANCIAL SERVICES INC.	ARDEN GLOBAL FAMILY OFFICES	May 21, 2025	Jul 10, 2025	50	Firm change	Wirehouse to new firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Dec 2, 2008	Nov 28, 2008	-4	Firm change	Wirehouse to wirehouse
MORGAN STANLEY DW INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 10, 2003	Sep 8, 2003	-2	Firm change	Other

Relationships

Registered with (4)

→ ARDEN GLOBAL FAMILY OFFICESRegistered adviserregistration: current employment
Jul 10, 2025 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 28, 2008 to May 21, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 8, 2003 to Dec 2, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 30, 1999 to Sep 10, 2003factForm ADV

Dated events

Occurred
May 21, 2025
Advisor changed firm
Flora Dong left Ubs Financial Services Inc. for Arden Global Family Offices (registered 2025-07-10)
Form ADVobserved 6 days ago