Nelson Ng
Professional summary
Nelson Ng is a registered financial professional currently at LAMPERT CAPITAL MARKETS INC. located in New York, New York.
Nelson is registered as a RR (Registered Representative) and started their career in finance in 1996. Nelson has worked at 5 firms and has passed the Series 63, SIE, Series 99TO, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nelson Ng's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2013 - Present
LAMPERT CAPITAL MARKETS INC.
Office #1: 444 Madison Ave 4th Floor, New York, NY 10022August 4, 1998 - August 3, 2001
BANC OF AMERICA SECURITIES LLC
February 27, 1998 - August 5, 1998
ROBERTSON STEPHENS, INC.
May 1, 1997 - January 28, 1998
SCOTIA CAPITAL (USA) INC.
January 19, 1996 - November 1, 1996
NOMURA SECURITIES INTERNATIONAL, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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