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RN

Ricky Q. Ng

Some features on this profile are disabled
CRD#: 6094170
RN

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.

Ricky Quincy Ng, who also goes by Quincy Ng Ricky, was a registered financial professional .

Ricky is a previously registered financial professional and started their career in finance in 2012. Ricky had worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Quincy Ng Ricky

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 24, 2024 - May 2, 2025

SYNERGY ADVISORS, LLC

BD
CRD#: 128264
EL SEGUNDO, CA
Past

April 30, 2019 - November 27, 2023

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
San Francisco, CA
Past

August 22, 2012 - May 1, 2018

HARRIS WILLIAMS

BD
CRD#: 113930
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/24/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/21/2012
Investment Banking Registered Representative Examination

Current Firm

SA
SYNERGY ADVISORS, LLC
SYNERGY ADVISORS GROUP, LLC | SYNERGY ADVISORS, LLC

CRD#: 128264 / SEC#: , 8-66114

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
880 Apollo Street Suite 230, El Segundo, CA 90245
Mailing Address
880 Apollo Street Suite 230, El Segundo, CA 90245
Phone number
(310) 414-3200
Established
Delaware since 07/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MAGGIACOMO, ROBERT MORGANMANAGING MEMBER, CEO, REGISTERED PRINCIPAL, FINOP/CFO, CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER2119666
EMSLIE, JAMES ALBERTMEMBER, PARTNER, REGISTERED PRINCIPAL, AML OFFICER3051453

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.

Company Information

SYNERGY ADVISORS, LLC

CRD#: 128264

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