Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Norman? Claim Your ProfileNorman Franklin Ng is a financial advisor with over 20 years of experience in the industry. Norman has worked at several prominent firms, including Goldman Sachs, Lehman Brothers, and UBS. He is currently an active advisor at Morgan Stanley. Norman is registered with the Securities and Exchange Commission (SEC) as both a broker-dealer and an investment advisor. Norman holds multiple securities licenses, including Series 3, 7, 10, 24, 63 and 65. Norman has a broad base of experience and is equipped to serve a wide array of client needs, including individuals, high-net-worth individuals, corporations, insurance companies, pension plans, and charitable organizations.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
04/09/2019 - Present
Morgan Stanley (Menlo Park CA)
CA
10/11/2007 - 07/15/2015
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
NY
08/14/1998 - 10/08/2007
GOLDMAN, SACHS & CO. (NEW YORK NY)
CA
10/01/1994 - 01/29/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NY
05/27/1994 - 09/21/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 03/27/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/29/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/14/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/05/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2012
Series 3 - National Commodity Futures Examination
BC
Issued 05/26/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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