HN
Hai M. Ngo
EAGLE STRATEGIES LLC
SAN FRANCISCO, CA 94105
Some features on this profile are disabled
CRD#: 5042671
HN
Professional summary
Hai Minh Ngo, who also goes by Minh Ngo, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in San Francisco, California and NYLIFE SECURITIES LLC located in San Francisco, California.
Hai is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Hai has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Minh 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.
[Milpitas Unified School District ; Board President Trustee. The Mission of Milpitas Unified School District is to provide the skills, knowledge, and experiences that will prepare students to be successful for life. A k-12 public school district.; 1331 E. Calaveras Blvd., Milpitas, CA 95035; Start Date 05/2020; Role/Title: Board Member; Not Investment Related; 20 hours per month; 0 hours per month during securities trading hours; Set the Agenda. Attend 2 public Board meeting per month to ensure public funds are spent in accordance with the State Education Code, provide direction to staff regarding the District's mission, and engage with the residents in the district] [E-Commerce; Reselling collectables and used goods such as sports cards, kid toys, used sports equipment, etc through various ecommerce online platforms such as ebay, facebook marketplace, etc; 943 Gomes Ln, Milpitas, CA 95035; Start Date 05/2024; Role/Title: Independent Contractor; Not Investment Related; 4 hours per month; 0 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Hai Minh 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
August 19, 2021 - Present
EAGLE STRATEGIES LLC
Office #1: 425 Market Street Suite 1600 1605, 1610, San Francisco, CA, 94105RIA
CRD#: 110826
SAN FRANCISCO, CA
Current
July 12, 2021 - Present
NYLIFE SECURITIES LLC
Office #1: 425 Market Street Suite 1600 1605, 1610, San Francisco, CA, 94105BD
CRD#: 5167
San Francisco, CA
Past
October 23, 2009 - March 9, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN JOSE, CA
Past
October 23, 2009 - March 9, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN JOSE, CA
Past
October 1, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
PALO ALTO, CA
Past
February 9, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
PALO ALTO, CA
Past
October 11, 2005 - November 22, 2005
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(7/12/2021)
IAR
California(8/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
51 Madison Avenue 12th Floor, New York, NY 10010
Mailing Address
51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010
Phone number
(888) 695-3245
Established
Firm type
Fiscal year end
# of Employees
2,804
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
