Buu Q. Ngo
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.
Buu Quang Ngo was a registered financial professional .
Buu is a previously registered financial professional and started their career in finance in 2000. Buu had worked at 4 firms and has passed the Series 66, Series 63, Series 3, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2011 - May 22, 2012
CONCERT WEALTH MANAGEMENT
April 30, 2010 - September 6, 2011
MORGAN STANLEY
April 29, 2010 - September 6, 2011
MORGAN STANLEY
July 14, 2009 - March 31, 2010
WADDELL & REED
July 7, 2009 - March 31, 2010
WADDELL & REED
March 3, 2000 - June 6, 2003
RBC CAPITAL MARKETS, LLC
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 55
Date: 3/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
CONCERT WEALTH MANAGEMENT
CRD#: 141253 / SEC#: 801-67992
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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