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BN

Brian Q. Ng

METROPOLITAN CAPITAL INVESTMENT BANC
CHICAGO, IL 60611
Some features on this profile are disabled
CRD#: 4528073
BN

Professional summary

Brian Quan-tai Ng, who also goes by Brian Q. Ng, is a registered financial professional currently at METROPOLITAN CAPITAL INVESTMENT BANC, INC. located in Chicago, Illinois.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2003. Brian has worked at 3 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 3, Series 7, Series 27, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Q. 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 Brian Quan-tai Ng's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 20, 2025 - Present

METROPOLITAN CAPITAL INVESTMENT BANC, INC.

Office #1: 9 East Ontario, Chicago, IL 60611
BD
CRD#: 148820
CHICAGO, IL
Past

February 13, 2023 - June 26, 2023

ATOMIC BROKERAGE LLC

BD
CRD#: 315263
Chicago, IL
Past

September 22, 2003 - December 10, 2004

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
Illinois
(4/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/7/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/14/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/8/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/13/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/3/2003
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/30/2022
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/15/2022
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/28/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
METROPOLITAN CAPITAL INVESTMENT BANC, INC.
METROPOLITAN CAPITAL INVESTMENT BANC, INC. | METROPOLITAN CAPITAL, INC.

CRD#: 148820 / SEC#: , 8-68075

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
9 East Ontario, Chicago, IL 60611
Mailing Address
9 East Ontario, Chicago, IL 60611
Phone number
(312) 640-2300
Established
Illinois since 09/16/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
METROPOLITAN CAPITAL BANCORP, INC.SOLE SHAREHOLDER
KIRSCHENBLAT, CHAD ETHANCFO/FINOP/POO/PFO2503352
NOVEL, FRANK P.PRESIDENT, CCO, EXEC. REP., SECRETARY, AMLCO5501358
PRESBERG, JOHN J.CFO/FINOP6530339

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.

Company Information

METROPOLITAN CAPITAL INVESTMENT BANC, INC.

CRD#: 148820Chicago, IL 60611

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