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 with over 7 years of experience in the financial services industry. Ka has held positions at several prominent firms, including Citigroup Global Markets Inc. and E*TRADE Securities LLC. Currently, Ka is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has a broad range of experience in various investment products and services, including stocks, bonds, mutual funds, and options. Ka is committed to providing clients with personalized financial advice and investment strategies to help them achieve their financial goals.
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 3/13/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 1/27/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/28/2017
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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