Eric S. 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.
Eric Shi-yiu Ng, who also goes by Eric Shi Yiu Ng, None, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1987. Eric had worked at 3 firms and has passed the Series 63, Series 2 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2009 - January 6, 2017
ENG FINANCIAL CORP.
May 23, 1988 - June 28, 1989
WADDELL & REED
April 21, 1987 - April 21, 1988
INTERFIRST CAPITAL CORPORATION
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 2
Date: 10/16/1992
Non-Member General Securities ExaminationCurrent Firm
ENG FINANCIAL CORP.
CRD#: 111419 / SEC#:
Contact information
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.
