Kim T. Ngo
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.
Kim Thi Hoang Ngo, who also goes by Kim T Ngo, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 2009. Kim had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2019 - June 2, 2021
ALLSTATE FINANCIAL SERVICES, LLC
September 27, 2019 - June 2, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
March 8, 2016 - October 25, 2017
STRATEGIC ADVISERS LLC
February 25, 2016 - October 25, 2017
FIDELITY BROKERAGE SERVICES LLC
July 10, 2013 - January 6, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
July 10, 2013 - January 6, 2016
ALLSTATE FINANCIAL SERVICES, LLC
February 10, 2012 - April 16, 2012
PRUCO SECURITIES, LLC.
August 6, 2009 - April 16, 2012
PRUCO SECURITIES, 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
Series 7TO
Date: 2/21/2024
General Securities Representative ExaminationSeries 6TO
Date: 2/21/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
