Jeff M. Ng

INDEPENDENT INVESTMENT BANKERS,

San Diego, CA

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CRD#: 4154330

Professional summary

Jeff M Ng, CFA, who also goes by Jeffrey Michael Ng, is a registered financial professional currently at INDEPENDENT INVESTMENT BANKERS, CORP. located in San Diego, California.

Jeff is registered as a RR (Registered Representative) and started their career in finance in 2000. Jeff has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeffrey Michael Ng

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeff M Ng'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®

CFA

Chartered Financial Analyst

Experience

Current

January 3, 2020 - Present

INDEPENDENT INVESTMENT BANKERS, CORP.

RIA

CRD#: 154134

San Diego, CA

Past

September 8, 2017 - November 4, 2019

D.A. DAVIDSON & CO.

RIA

CRD#: 199

COSTA MESA, CA

Past

September 8, 2017 - November 4, 2019

D.A. DAVIDSON & CO.

CRD#: 199

COSTA MESA, CA

Past

August 11, 2017 - October 3, 2017

B. RILEY & CO., LLC

CRD#: 40355

Newport Beach, CA

Past

July 10, 2017 - October 3, 2017

B. RILEY SECURITIES, INC.

CRD#: 25027

Newport Beach, CA

Past

June 5, 2014 - October 3, 2017

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Newport Beach, CA

Past

July 13, 2000 - June 10, 2014

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(1/3/2020)

Exams

State Security Law Exam

Series 63

Date: 12/19/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/18/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)

Washington

Registered Investment Advisory firm - SEC (8/14/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11801 Domain Blvd 3rd Floor, Austin, TX 78758

Mailing Address

2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732

Phone number

(512) 266-3000

Established

Delaware since 04/07/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
IIB HOLDINGS, CORP.	OWNER
FICHERA, DANTE	CEO/CFO	3059445
GODDARD, HOUSTON ALLEN	CCO AND GENERAL COUNSEL	1260759

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Jeff M. Ng

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeff M Ng's CRS (Customer Relationship Summary).

Certified licenses

Experience

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

B. RILEY & CO., LLC

B. RILEY SECURITIES, INC.

B. RILEY WEALTH MANAGEMENT

ROTH CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/2000

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/12/2000

Series 24

Date: 7/18/2007

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INDEPENDENT INVESTMENT BANKERS, CORP.

TRUST BUT VERIFY

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