Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Julie? Claim Your ProfileJulie Ngo is an active registered representative with Wells Fargo Clearing Services, LLC. Julie has been in the securities industry since 1999. Before joining Wells Fargo Clearing Services, LLC, Julie worked at Morgan Stanley, Morgan Stanley Smith Barney and Citigroup Global Markets Inc.. Julie has a broad range of experience in the financial services industry, having worked with clients of all types including high net worth individuals, individuals other than high net worth, corporations or other businesses, pension and profit-sharing plans, and charitable organizations. Julie has also worked with insurance companies, banking or thrift institutions and state or municipal government entities. Julie's experience includes a variety of investment strategies and products including stocks, bonds, mutual funds, ETFs, options, and futures.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
02/01/2023 - Present
Wells Fargo Clearing Services, LLC (SEAL BEACH CA)
CA
10/19/2015 - 08/24/2021
MORGAN STANLEY (LONG BEACH CA)
CA
06/01/2009 - 12/18/2009
MORGAN STANLEY SMITH BARNEY (LONG BEACH CA)
CA
10/15/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LONG BEACH CA)
NY
11/03/1994 - 10/06/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
02/22/1994 - 09/09/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
AZ
04/15/1992 - 03/16/1994
SPELMAN & CO., INC. (PHOENIX AZ)
BOTH
Issued 11/30/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/06/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/27/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/31/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/11/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/2015
Series 7 - General Securities Representative Examination
BC
Issued 05/16/2007
Series 31 - Futures Managed Funds Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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