Flora Dong has been Managing Member and Chief Compliance Officer of Ardenwood Advisors since July 2025, is a control person of the firm and directly owns 75% or more of it.
Ardenwood Advisors, LLC is a firm with $146M under management, 12 clients and 2 advisers in one office, as of its July 2026 filing.
Flora Dong’s longest registration was 16 years at UBS Financial Services Inc. (2008–2025). Before joining Ardenwood Advisors in 2025, Flora Dong was registered through UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Arden Global Family OfficesCurrent– present · 1 yearPalo Alto, CA · Adviser representative · Firm CRD 337412
- UBS Financial Services Inc.– · 16 yearsSan Francisco, CA · Adviser representative · Firm CRD 8174
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 5 yearsSan Francisco, CA · Adviser representative · Firm CRD 7691
- Morgan Stanley– · 3 yearsPleasanton, CA · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Flora Dong is registered as an investment adviser representative in California, since July 2025.
- CaliforniaSince 10 July 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 15 December 2004 |
| Series 31 | Futures Managed Funds Examination | 21 October 2002 |
| Series 66 | Uniform Combined State Law Examination | 9 July 1999 |
| Series 7 | General Securities Representative Examination | 23 June 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 3232763
- Firm
- Ardenwood Advisors · CRD 337412
- Role
- Managing Member and Chief Compliance Officer
- Office
- Palo Alto, CA
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Flora Dong work?
Flora Dong has been Managing Member and Chief Compliance Officer of Ardenwood Advisors, LLC since July 2025, and is a control person of the firm.
Is Flora Dong a financial advisor?
Yes. Flora Dong has a current investment-adviser registration in California, through Ardenwood Advisors since July 2025.
How many years of experience does Flora Dong have?
Flora Dong has 27 years in the financial industry, since August 1999, across 4 adviser firms.
What exams has Flora Dong passed?
Flora Dong has passed 4 licensing exams: the Series 7, Series 66, Series 31 and Series 65. The earliest, the Series 7, was passed in June 1999. FINRA credited Flora Dong with the SIE, which began in October 2018.
Where did Flora Dong work before Ardenwood Advisors?
Before Ardenwood Advisors, Flora Dong was registered through UBS Financial Services Inc., November 2008 to May 2025; Merrill Lynch, Pierce, Fenner & Smith Incorporated, September 2003 to December 2008; Morgan Stanley, September 1999 to September 2003.
Where is Flora Dong based?
Flora Dong’s registered office is in Palo Alto, CA.
Is Flora Dong registered with FINRA?
Yes. Flora Dong has a current broker registration, under CRD 3232763.
Source: FINRA BrokerCheck
How can I verify Flora Dong’s record?
Search CRD 3232763 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Flora Dong’s full registration record.