TN
Tuan A. Ngo
CETERA ADVISORS
GREENWOOD VILLAGE, CO 80111
CRD#: 2819426
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TN
Tuan Anh NgoCETERA ADVISORS
Professional summary
Tuan Anh Ngo, who also goes by Toon Ngo, is a registered financial professional currently at CETERA ADVISORS LLC located in Greenwood Village, Colorado.
Tuan is registered as a RR (Registered Representative) and started their career in finance in 1996. Tuan has worked at 16 firms and has passed the Series 65, Series 63, Series 82TO, Series 57TO, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 6, Series 14, Series 10, Series 9, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Toon Ngo
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Tuan Anh Ngo's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 19, 2023 - Present
CETERA ADVISORS LLC
Office #1: 5299 Dtc Blvd #800, Greenwood Village, CO 80111BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
April 4, 2019 - April 5, 2023
ARES MANAGEMENT CAPITAL MARKETS LLC
BD
CRD#: 166219
LOS ANGELES, CA
Past
November 2, 2018 - April 9, 2019
DELTA INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 149596
Los Angeles, CA
Past
October 13, 2017 - April 3, 2019
WESTPARK CAPITAL, INC.
BD
CRD#: 39914
LOS ANGELES, CA
Past
March 28, 2017 - June 14, 2017
SGMA CAPITAL MARKETS LIMITED
BD
CRD#: 135327
Culver City, CA
Past
June 23, 2011 - December 31, 2018
VFG ADVISORS, INC.
RIA
CRD#: 150370
LOS ANGELES, CA
Past
July 19, 2010 - November 20, 2017
VFG SECURITIES, INC.
BD
CRD#: 15121
CULVER CITY, CA
Past
January 31, 2008 - November 20, 2008
PERSHING LLC
BD
CRD#: 7560
LOS ANGELES, CA
Past
December 21, 2005 - November 29, 2007
CETERA ADVISORS LLC
BD
CRD#: 10299
EL SEGUNDO, CA
Past
December 21, 2005 - November 29, 2007
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
EL SEGUNDO, CA
Past
December 21, 2005 - November 29, 2007
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
October 6, 2002 - November 23, 2005
ROBERTS & RYAN, INC.
BD
CRD#: 19456
NEW YORK, NY
Past
November 3, 2000 - May 10, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 15, 2000 - October 18, 2000
U.S. RICA FINANCIAL, INC.
BD
CRD#: 38742
SAN JOSE, CA
Past
May 10, 2000 - August 7, 2000
KDN SECURITIES, INC.
BD
CRD#: 102960
DALLAS, TX
Past
February 13, 1998 - May 26, 2000
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
November 7, 1996 - July 11, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/22/2023)
RR
Alaska(5/24/2023)
RR
Arizona(6/16/2023)
RR
Arkansas(7/17/2023)
RR
California(5/22/2023)
RR
Colorado(5/22/2023)
RR
Connecticut(5/19/2023)
RR
Delaware(6/5/2023)
RR
District of Columbia(5/31/2023)
RR
Florida(5/22/2023)
RR
Georgia(5/22/2023)
RR
Hawaii(7/25/2023)
RR
Idaho(5/19/2023)
RR
Illinois(6/13/2023)
RR
Indiana(5/26/2023)
RR
Iowa(5/19/2023)
RR
Kansas(5/22/2023)
RR
Kentucky(5/19/2023)
RR
Louisiana(5/22/2023)
RR
Maine(5/24/2023)
RR
Maryland(5/23/2023)
RR
Massachusetts(5/22/2023)
RR
Michigan(5/23/2023)
RR
Minnesota(5/31/2023)
RR
Mississippi(5/24/2023)
RR
Missouri(6/21/2023)
RR
Montana(5/25/2023)
RR
Nebraska(5/30/2023)
RR
Nevada(5/25/2023)
RR
New Hampshire(5/23/2023)
RR
New Jersey(5/22/2023)
RR
New Mexico(5/23/2023)
RR
New York(5/23/2023)
RR
North Carolina(5/22/2023)
RR
North Dakota(5/22/2023)
RR
Ohio(5/19/2023)
RR
Oklahoma(5/22/2023)
RR
Oregon(5/19/2023)
RR
Pennsylvania(5/24/2023)
RR
Puerto Rico(5/30/2023)
RR
Rhode Island(5/25/2023)
RR
South Carolina(5/23/2023)
RR
South Dakota(6/8/2023)
RR
Tennessee(5/22/2023)
RR
Texas(5/24/2023)
RR
Utah(6/16/2023)
RR
Vermont(5/19/2023)
RR
Virgin Islands(5/23/2023)
RR
Virginia(5/22/2023)
RR
Washington(5/22/2023)
RR
West Virginia(5/22/2023)
RR
Wisconsin(5/22/2023)
RR
Wyoming(5/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 5/19/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/15/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES
CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
