Nicholas A Kong

Employer firm

Rbc Securities, Inc CRD 103705

$1.52B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

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

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

Current Employers

Employment History

• 09/2015 → 07/2019
  City National Rochdale
  New York, NY
• 07/2019 → Present
  City National Bank
  New York, NY

Previous Registrations

• 2017-05-30 → 2019-07-16
  Rbc Rochdale, Llc
  New York, NY

Other Businesses

the name of the other business: Summer Search; whether the business is investment-related. non investment-related; the address of the other business: 234 West 39th St, New York, NY 10018; the nature of the other business: Foundation/Charitable Institution your position; title, or relationship with the other business; Associate Board of Directors; the start date of your relationship: 12/01/2025; the approximate number of hours/month you devote to the other business: 16; The number of hours you devote to the other business during securities trading hours: 0; briefly describe your duties relating to the other business: My responsibilities will include fundraising, attending and participating in Board meetings, and bringing guests to events. Mentoring and coaching students are also highly likely.

Exams

• S66 Uniform Combined State Law Examination
  2017-05-27