Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid James Ngai is a financial advisor with Northwestern Mutual Investment Services, LLC. He is based in Melville, New York and has over 30 years of experience in the financial services industry. David is a Series 6, 7 and 63 licensed advisor. His previous experience includes working as a financial advisor at Robert W. Baird & Co. Incorporated. He is also registered to provide investment advice in 13 states, including Connecticut, Florida, Maryland, Massachusetts, Minnesota, New Jersey, New York, North Carolina, Oklahoma, Pennsylvania, South Carolina, Texas and Vermont.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
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NY
08/22/1991 - Present
Northwestern Mutual Investment Services, LLC (MELVILLE NY)
WI
08/22/1991 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BC
Issued 09/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/26/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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