Tsering Ngudu
Professional summary
Tsering Ngudu is a registered financial advisor currently at TOCQUEVILLE ASSET MANAGEMENT LP located in New York, New York and TOCQUEVILLE SECURITIES L.P. located in New York, New York.
Tsering is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Tsering has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tsering Ngudu's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 21, 2021 - Present
TOCQUEVILLE ASSET MANAGEMENT LP
Office #1: 40 West 57th Street 19th Floor, New York, NY 10019July 25, 2002 - Present
TOCQUEVILLE SECURITIES L.P.
Office #1: 40 West 57th Street 19th Floor, New York, NY, 10019Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019April 3, 1988 - February 24, 2004
LN SECURITIES, INC.
May 21, 1986 - July 3, 1996
LN SECURITIES, INC.
Primary Firm SEC Registration
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/25/2002)
(8/21/2021)
(3/2/2006)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 6/25/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,440 |
| AUM (Assets Under Management) | $ 9,660,385,107 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 09/27/2024 | ||
| 02/22/2024 | ||
| 03/16/2023 |
Red Flags
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