Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chuck? Claim Your ProfileChuck Ben Ng is a financial advisor with over 30 years of experience in the industry. Chuck is currently registered with Lombard Securities Inc. in Foothill Ranch, CA and Baltimore, MD. Chuck has previously worked at LPL FINANCIAL LLC, BEAR, STEARNS & CO. INC., CAPITAL RESEARCH BROKERAGE SERVICES, LLC, SECURITY DISTRIBUTORS, INC., PILGRIM SECURITIES, INC., NICHOLAS-APPLEGATE SECURITIES (A CALIFORNIA LIMITED PARTNERSHIP), PASADENA FUND SERVICES, INC., PILGRIM DISTRIBUTORS CORP., and BARABAN SECURITIES, INC..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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CA
01/11/2017 - Present
Lombard Securities Inc. (Foothill Ranch CA)
CA
10/28/2005 - 01/27/2017
LPL FINANCIAL LLC (SAN LUIS OBISPO CA)
NY
09/10/2002 - 11/25/2003
BEAR, STEARNS & CO. INC. (NEW YORK NY)
CA
09/07/2001 - 07/10/2002
CAPITAL RESEARCH BROKERAGE SERVICES, LLC (PASADENA CA)
KS
05/07/1999 - 05/09/2000
SECURITY DISTRIBUTORS, INC. (TOPEKA KS)
CT
02/01/1999 - 02/11/1999
PILGRIM SECURITIES, INC. (WINDSOR CT)
CA
03/01/1995 - 01/29/1999
NICHOLAS-APPLEGATE SECURITIES (A CALIFORNIA LIMITED PARTNERSHIP) (SAN DIEGO CA)
NA
09/14/1992 - 02/21/1995
PASADENA FUND SERVICES, INC.
CA
07/25/1989 - 08/24/1992
PILGRIM DISTRIBUTORS CORP. (LOS ANGELES CA)
CA
05/23/1989 - 08/18/1989
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 11/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/19/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1989
Series 7 - General Securities Representative Examination
BC
Issued 04/12/1989
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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