Yat Chi 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.
Yat Chi Stanley Ng, who also goes by Yat Chi Ng, Yat Chi Stanley Ng, Yatchi Stanley Ng, was a registered financial professional .
Yat Chi is a previously registered financial professional and started their career in finance in 1997. Yat Chi had worked at 4 firms and has passed the Series 63, Series 56, Series 55 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
January 18, 2013 - August 7, 2013
WTS PROPRIETARY TRADING GROUP LLC
October 16, 2012 - December 10, 2012
WTS PROPRIETARY TRADING GROUP LLC
December 7, 2011 - July 23, 2012
AVATAR SECURITIES, LLC
July 25, 2000 - June 14, 2001
HEARTLAND SECURITIES CORP.
November 17, 1997 - January 6, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 56
Date: 12/6/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 10/2/2000
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
