Tzu Ngai
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.
Tzu Ngai, who also goes by Benjamin Ngai, Tzu Yao Ngai, Ben Ngai, Tzu Ngai, was a registered financial professional .
Tzu is a previously registered financial professional and started their career in finance in 2013. Tzu had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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
November 20, 2023 - November 22, 2024
MONETA GROUP INVESTMENT ADVISORS, LLC
May 12, 2022 - July 6, 2022
J.P. MORGAN SECURITIES LLC
March 20, 2015 - August 6, 2015
PAULSON INVESTMENT COMPANY LLC
December 13, 2013 - May 1, 2014
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
MONETA GROUP INVESTMENT ADVISORS, LLC
CRD#: 104727 / SEC#: 801-34723
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: 5/12/2022
General Securities Representative ExaminationCurrent Firm
MONETA GROUP INVESTMENT ADVISORS, LLC
CRD#: 104727 / SEC#: 801-34723
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 44,504 |
| AUM (Assets Under Management) | $ 42,795,577,115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/09/2024 | ||
| 11/20/2023 | ||
| 01/03/2023 |
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.
