Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Ngo is a financial professional with over 30 years of experience in the industry. John has worked with several firms, including Lehman Brothers, Dean Witter Reynolds, Charles Schwab, and Smith Barney. John is currently a registered representative with Charles Schwab. John is licensed in all 50 states and the Virgin Islands and has a Series 3, Series 7, Series 8, Series 9, Series 10, and Series 63. John specializes in providing financial planning and investment management services to individuals and businesses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
05/17/1995 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
NY
09/21/1994 - 04/26/1995
SMITH BARNEY INC. (NEW YORK NY)
TX
03/06/1992 - 09/22/1994
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
10/15/1990 - 01/06/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
03/20/1990 - 11/13/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 03/27/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/30/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/28/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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