Kay N. Paradiso
Professional summary
Kay Ngiam Paradiso, who also goes by Kay Suan Ngiam, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Vienna, Virginia.
Kay is registered as a RR (Registered Representative) and started their career in finance in 2009. Kay has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kay Ngiam Paradiso's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2018 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 1919 Gallows Rd Suite 330, Vienna, VA 22182May 5, 2009 - May 24, 2018
OSAIC WEALTH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2018)
Exams
FINRA
Current Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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