Dolores Kong

Employer firm

B. Riley Wealth Advisors, Inc. CRD 115927

$4.21B regulatory AUM 40 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2004 → 03/2021
  Winslow, Evans & Crocker, Inc.
  Boston, MA
• 03/2021 → 07/2022
  National Securities Corporation
  Boston, MA
• 07/2022 → Present
  B. Riley Wealth Management
  Boston, MA
• 03/2021 → Present
  B. Riley Wealth Advisors
  Boston, MA

Previous Registrations

• 2005-03-09 → 2021-04-13
  Winslow, Evans & Crocker, Inc.
  Boston, MA
  Boston, MA

Other Businesses

(1) IRS LICENSED ENROLLED AGENT: INDIVIDUAL TAX PREPARATION - SEASONAL; NOT INVESTMENT-RELATED; 125 W. BRANCH RD. WATERVILLE VALLEY, NH; 10 HRS/MONTH, 0 DURING TRADING HRS; ENROLLED AGENT.... (2) AOMM ENTERPRISES LLC; NOT INVESTMENT-RELATED; HIKING BOOKS, BLOG, INTERNET INO; 125 W. BRANCH RD. WATERVILLE VALLEY, NH; 4 HRS/MONTH, 0 DURING TRADING HRS; WWW.ACADIAONMYMIND.COM.... (3) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; FIXED INSURANCE; AGENT; START DATE 03/2021, 4 HRS/MONTH, DURING TRADING HRS. (4) DOLORES KONG INTERNET DOMAIN NAME; NON INVESTMENT RELATED; INTERNET DOMIAN; OWNER; START DATE 2022; 4 HOURS/MPNTH DEVOTED NON DURING SECURITIES TRADING HOURS

Exams

• S66 Uniform Combined State Law Examination
  2001-12-21

Designations

• Certified Financial Planner