HN
Hoang K. Ngo
LARRAINVIAL SECURITIES US LLC
New York, NY 10017
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CRD#: 4663462
HN
Professional summary
Hoang Kim Ngo, who also goes by Kim Ngo, is a registered financial professional currently at LARRAINVIAL SECURITIES US LLC located in New York, New York.
Hoang is registered as a RR (Registered Representative) and started their career in finance in 2004. Hoang has worked at 3 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kim 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 Hoang Kim 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
January 29, 2024 - Present
LARRAINVIAL SECURITIES US LLC
Office #1: 400 Madison Avenue Suite 5c, New York, NY 10017BD
CRD#: 152424
New York, NY
Past
September 29, 2017 - December 4, 2023
LIQUIDNET, INC.
BD
CRD#: 103987
NEW YORK, NY
Past
June 2, 2004 - December 14, 2016
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
Alabama(1/29/2024)
RR
Alaska(1/29/2024)
RR
Arizona(1/29/2024)
RR
Arkansas(1/29/2024)
RR
California(1/29/2024)
RR
Colorado(1/29/2024)
RR
Connecticut(1/29/2024)
RR
Delaware(1/29/2024)
RR
District of Columbia(1/29/2024)
RR
Florida(1/29/2024)
RR
Georgia(1/29/2024)
RR
Hawaii(1/29/2024)
RR
Idaho(1/29/2024)
RR
Illinois(1/29/2024)
RR
Indiana(1/29/2024)
RR
Iowa(1/29/2024)
RR
Kansas(1/29/2024)
RR
Kentucky(1/29/2024)
RR
Louisiana(1/29/2024)
RR
Maine(1/29/2024)
RR
Maryland(1/29/2024)
RR
Massachusetts(1/29/2024)
RR
Michigan(1/29/2024)
RR
Minnesota(1/29/2024)
RR
Mississippi(1/29/2024)
RR
Missouri(1/29/2024)
RR
Montana(1/29/2024)
RR
Nebraska(1/29/2024)
RR
Nevada(1/29/2024)
RR
New Hampshire(1/29/2024)
RR
New Jersey(1/29/2024)
RR
New Mexico(1/29/2024)
RR
New York(1/29/2024)
RR
North Carolina(1/29/2024)
RR
North Dakota(1/29/2024)
RR
Ohio(1/30/2024)
RR
Oklahoma(1/29/2024)
RR
Oregon(1/29/2024)
RR
Pennsylvania(1/29/2024)
RR
Puerto Rico(1/29/2024)
RR
Rhode Island(1/29/2024)
RR
South Carolina(1/29/2024)
RR
South Dakota(1/29/2024)
RR
Tennessee(1/29/2024)
RR
Texas(1/29/2024)
RR
Utah(1/29/2024)
RR
Vermont(1/29/2024)
RR
Virginia(1/29/2024)
RR
Washington(1/29/2024)
RR
West Virginia(1/29/2024)
RR
Wisconsin(1/29/2024)
RR
Wyoming(1/29/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/23/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LARRAINVIAL SECURITIES US LLC
LARRAINVIAL SECURITIES US LLC
CRD#: 152424 / SEC#: , 8-68452
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
El Bosque Norte 0177, Las Condes Santiago 7550100
Mailing Address
400 Madison Avenue Suite 5c, New York, NY 10017
Phone number
562 2339-8562
Established
Delaware since 11/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
