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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)16 years in industry

RICARDO KONG

Advisor at RBC ROCHDALE, LLC

New York, NY | Brooklyn, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:f3c120ff-7b29-83a5-b7db-b2b25ec91f45

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 5, 2015 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: RBC ROCHDALE, 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: Apr 20, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Designations: Chartered Financial Analyst
Exams: S65|S63
First exam: Apr 20, 2010
First registration: Jan 5, 2015
Dual registered: yes, broker-dealer
Other names: RICARDO A KONG|RICARDO ANTHONY KONG
IAPD individual key: 5492805

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
RBC ROCHDALE, LLC	Bd affiliated wealth	Apr 17, 2023	n/a	yes	NEW YORK, NY\|New York, NY\|Brooklyn, NY	Current employment
RBC SECURITIES, INC.	Bd affiliated wealth	Mar 2, 2018	Apr 19, 2023	no	NEW YORK, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jul 1, 2016	Feb 23, 2018	no	NEW YORK, NY\|New York, NY\|NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 5, 2015	Jun 16, 2016	no	GREAT NECK, 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
RBC SECURITIES, INC.	RBC ROCHDALE, LLC	Apr 19, 2023	Apr 17, 2023	-2	Firm change	RIA to ibd
HSBC SECURITIES (USA) INC.	RBC SECURITIES, INC.	Feb 23, 2018	Mar 2, 2018	7	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HSBC SECURITIES (USA) INC.	Jun 16, 2016	Jul 1, 2016	15	Firm change	Other

Relationships

Registered with (4)

→ RBC ROCHDALE, LLCRegistered adviserregistration: current employment
Apr 17, 2023 to presentfactForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Mar 2, 2018 to Apr 19, 2023factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jul 1, 2016 to Feb 23, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 5, 2015 to Jun 16, 2016factForm ADV

Dated events

Occurred
Apr 19, 2023
Advisor changed firm
Ricardo Kong left Rbc Securities, Inc. for Rbc Rochdale, Llc (registered 2023-04-17)
Form ADVobserved 4 days ago