Kam M. Ting
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.
Kam Man Ting, who also goes by Kent Ting, was a registered financial professional .
Kam is a previously registered financial professional and started their career in finance in 1999. Kam had worked at 5 firms and has passed the Series 63, Series 7TO, SIE 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 12, 2018 - March 31, 2021
NI ADVISORS
December 1, 2014 - January 30, 2016
NI ADVISORS
January 8, 2010 - November 8, 2012
W.R. HAMBRECHT + CO., LLC
July 20, 2001 - April 16, 2010
WHITE PACIFIC SECURITIES, INC.
July 31, 2000 - June 19, 2001
WHITE PACIFIC SECURITIES, INC.
April 24, 2000 - July 31, 2000
ACUMENT SECURITIES, INC.
November 18, 1999 - March 28, 2000
AMERICAL SECURITIES, 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 7TO
Date: 10/18/2022
General Securities Representative ExaminationCurrent Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
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.
