Michael C. Ning
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.
Michael Cheng Ning, who also goes by Makoto Ning, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2016 - June 16, 2023
ARQUE CAPITAL, LTD.
March 11, 2011 - December 31, 2015
ARQUE CAPITAL, LTD.
July 15, 2010 - November 15, 2010
ARQUE CAPITAL, LTD.
June 11, 2009 - April 27, 2010
EMPIRE SECURITIES CORPORATION
December 21, 2005 - June 16, 2023
ARQUE CAPITAL, LTD.
June 18, 2003 - October 20, 2006
GBS FINANCIAL CORP.
November 16, 1992 - June 21, 2001
TRIQUEST FINANCIAL, INC.
January 10, 1992 - November 30, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 1990 - January 3, 1992
CIBC WORLD MARKETS CORP.
July 21, 1987 - October 11, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 1/19/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ARQUE CAPITAL, LTD.
CRD#: 121192 / SEC#: 801-70283, 8-65390
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARQUE ORION WINTER SKIES, LTD. | PARENT COMPANY | |
| KUWABARA, AUDREY MARI | PRESIDENT & CEO (INTERIM) | 5007219 |
| KUWABARA, AUDREY MARI | CHIEF RISK OFFICER/GENERAL COUNSEL/SECRETARY/CHIEF COMPLIANCE OFFICER | 5007219 |
| NING, MICHAEL CHENG | PRESIDENT & CEO | 1229733 |
| ROACH, ROBERT GARFIELD JR | FINOP | 2731222 |
| SCANLON, TIMOTHY JOSEPH | DIRECTOR - PRIVATE CLIENT DIVISION | 1968597 |
| SULLIVAN, JAMES CHESTER | OPTIONS PRINCIPAL | 804918 |
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 6,000,000 |
Disclosures
| Regulatory Event | 5 |
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.
