Karen L. Ng
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.
Karen Laiyan Ng, who also goes by Karen Laiyan Ng, Lai Yan Karen Ng, Lai Yan Karen Ng, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 2005. Karen had worked at 5 firms and has passed the Series 63 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
June 25, 2013 - August 6, 2013
MOMENTIX CAPITAL, INC.
June 2, 2011 - January 17, 2012
COLONIAL SECURITIES, INC.
June 17, 2009 - July 29, 2009
UNIVEST SECURITIES, LLC
October 21, 2005 - July 24, 2007
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
June 14, 2005 - October 20, 2005
CREDIT SUISSE SECURITIES (USA) 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
Current Firm
MOMENTIX CAPITAL, INC.
CRD#: 20130 / SEC#: , 8-38086
Contact information
Disclosures
| Regulatory Event | 5 |
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.
