Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ka? Claim Your ProfileKa Ho Ngai is a financial advisor who has been working in the industry since January 22, 2015. Ka Ho Ngai is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and holds the following licenses: Series 7, Series 24, Series 31 and Series 66. Ka Ho Ngai is registered in 51 states, and 2 states for Investment Advisor. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Ka Ho Ngai was employed with Citigroup Global Markets Inc. and E*TRADE SECURITIES LLC. Ka Ho Ngai has experience with several different types of clients, including high-net-worth individuals, corporations, and pension plans.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
06/29/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
11/28/2017 - 04/29/2021
CITI PRIVATE ADVISORY, LLC (San Francisco CA)
CA
08/18/2017 - 04/29/2021
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
CA
11/22/2014 - 08/10/2017
E*TRADE SECURITIES LLC (SAN FRANCISCO CA)
BOTH
Issued 03/13/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/27/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 11/22/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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