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Ping Leung Ngai

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CRD#: 6739239
PN

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.

Ping Leung Ngai, who also goes by Ping Leung Stephen Ngai, Stephen Ngai, was a registered financial professional .

Ping Leung is a previously registered financial professional and started their career in finance in 2024. Ping Leung had worked at 1 firm and has passed the Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ping Leung Stephen Ngai | Stephen Ngai

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

November 27, 2024 - October 30, 2025

INTERACTIVE BROKERS LLC

BD
CRD#: 36418
ADMIRALTY,

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

General Industry/Product Exam
RR
Series 7TO
Date: 11/27/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/29/2023
Securities Industry Essentials Examination

Current Firm

IB
INTERACTIVE BROKERS LLC
INTERACTIVE BROKERS LLC

CRD#: 36418 / SEC#: , 8-47257

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
Pickwick Plaza, Greenwich, CT 06830
Mailing Address
One Pickwick Plaza, Greenwich, CT 06830
Phone number
(203) 618-5710
Established
Connecticut since 03/09/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IBG LLCMANAGING MEMBER
BRODY, PAUL JONATHANSECRETARY, PRINCIPAL OPERATIONS OFFICER1722066
CHAIT, JONATHANEXECUTIVE VICE PRESIDENT, COO4582696
FRIEDLAND, DAVID ERICMANAGING DIRECTOR-ASIAN OPERATIONS2715164
GALIK, MILANCHIEF EXECUTIVE OFFICER2204066
GELMAN, JONATHAN MICHAELCHIEF COMPLIANCE OFFICER5440103
MANDELBAUM, ELAINEGENERAL COUNSEL2957713
MENICUCCI, JAMESPRINCIPAL FINANCIAL OFFICER6590173
SHAO-CHEN, KENGNINGTREASURER5910386

Disclosures

Regulatory Event92
Arbitration26

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

INTERACTIVE BROKERS LLC

CRD#: 36418

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