Chuck B. Ng
Professional summary
Chuck Ben Ng is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Baltimore, Maryland.
Chuck is registered as a RR (Registered Representative) and started their career in finance in 1989. Chuck has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Chuck Ben Ng's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2017 - Present
LOMBARD SECURITIES INCORPORATED
Office #1: 1820 Lancaster Street Second Floor, Baltimore, MD 21231June 6, 2016 - January 11, 2017
NWM ADVISORS, LLC
October 28, 2005 - January 27, 2017
LPL FINANCIAL LLC
September 10, 2002 - November 25, 2003
J.P. MORGAN SECURITIES LLC
September 7, 2001 - July 10, 2002
CAPITAL RESEARCH BROKERAGE SERVICES, LLC
May 7, 1999 - May 9, 2000
SECURITY DISTRIBUTORS
February 1, 1999 - February 11, 1999
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 1, 1995 - January 29, 1999
NICHOLAS-APPLEGATE SECURITIES LLC
September 14, 1992 - February 21, 1995
PASADENA FUND SERVICES, INC.
July 25, 1989 - August 24, 1992
ASTRA FUND DISTRIBUTORS CORP.
May 23, 1989 - August 18, 1989
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
(1/11/2017)
(1/16/2025)
(1/4/2023)
(1/4/2018)
(1/4/2023)
Exams
FINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
Red Flags
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