Stephen Ng
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.
Stephen Ng was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2017. Stephen had worked at 3 firms and has passed the Series 66, 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
January 7, 2019 - October 16, 2023
THE DOWLING GROUP WEALTH MANAGEMENT
May 22, 2018 - December 31, 2018
THE DOWLING GROUP WEALTH MANAGEMENT
January 19, 2018 - April 13, 2018
KEY INVESTMENT SERVICES LLC
February 22, 2017 - April 10, 2017
DAVID LERNER ASSOCIATES, INC.
Primary Firm SEC Registration
THE DOWLING GROUP WEALTH MANAGEMENT
CRD#: 155624 / SEC#: 801-130694
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
Current Firm
THE DOWLING GROUP WEALTH MANAGEMENT
CRD#: 155624 / SEC#: 801-130694
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 165,628,233 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/17/2025 | ||
| 09/03/2024 | ||
| 03/06/2024 | ||
| 12/12/2023 |
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.
