Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wai? Claim Your ProfileWai Ng is a securities professional with over 13 years of experience in the industry. Wai is currently registered with Guggenheim Securities, LLC in New York, NY and has previously held positions with J.P. Morgan Securities LLC in New York, NY. Wai holds the Series 7, 24, 57TO, and SIE licenses and is also a Registered Options Principal.
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.
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.
1
2
NY
03/17/2021 - Present
Guggenheim Securities, LLC (NEW YORK NY)
NY
01/26/2010 - 09/25/2013
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
BC
Issued 11/08/2021
Series 4 - Registered Options Principal Examination
BC
Issued 10/04/2021
Series 24 - General Securities Principal Examination
BC
Issued 04/03/2024
Series 57TO - Securities Trader Exam
BC
Issued 03/17/2021
Series 7TO - General Securities Representative Examination
BC
Issued 02/09/2021
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
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