Clement T. Ng
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Clement Tak Ng, who also goes by Clement Tak Ny, was a registered financial professional .
Clement is a previously registered financial professional and started their career in finance in 1987. Clement had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 1997 - December 31, 1999
LIGHTHOUSE CAPITAL CORPORATION
September 14, 1994 - August 14, 1997
INTERVEST INTERNATIONAL EQUITIES CORPORATION
November 19, 1989 - August 15, 1994
OSAIC WEALTH, INC.
February 11, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 9, 1987 - February 23, 1988
AMERICAN GENERAL SECURITIES INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LIGHTHOUSE CAPITAL CORPORATION
CRD#: 41812 / SEC#: , 8-49576
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
