Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Larry? Claim Your ProfileLarry Siu kwong Ngai is a financial advisor with Wells Fargo Clearing Services, LLC, located in Palo Alto, CA. Larry has been a registered representative for over 30 years. Larry has a wide range of experience in the financial industry, having worked with various firms including HSBC Securities (USA) Inc., LPL Financial Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Larry has expertise in investment consulting services to institutional clients, financial planning, pension consulting and portfolio management for businesses and individuals. Larry is registered with the Securities and Exchange Commission and holds FINRA Series 7, 8, 9, 10, 63 and 65 licenses. Larry is dedicated to providing his clients with the best possible service.
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
08/22/2024 - Present
Wells Fargo Clearing Services, LLC (SAN MATEO CA)
CA
08/20/2013 - 08/22/2024
CITIGROUP GLOBAL MARKETS INC. (Alameda CA)
CA
01/21/2010 - 08/28/2013
HSBC SECURITIES (USA) INC. (SAN FRANCISCO CA)
CA
06/17/2009 - 01/05/2010
LPL FINANCIAL CORPORATION (OAKLAND CA)
IL
08/30/2007 - 02/08/2008
STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)
CA
08/18/2006 - 07/30/2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (SAN FRANCISCO CA)
TX
09/16/1999 - 11/29/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
04/22/1999 - 08/27/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
TX
10/05/1994 - 04/16/1999
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CA
10/25/1993 - 10/07/1994
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
OR
07/14/1993 - 10/25/1993
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
IA
Issued 05/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/23/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/18/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/1993
Series 7 - General Securities Representative 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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