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JN

Jamie D. Ngo

SAPENO
London, W1J 7AD
Some features on this profile are disabled
CRD#: 6961360
JN

Professional summary

Jamie Dieu Linh Ngo, who also goes by Jamie Ngo, is a registered financial professional currently at SAPENO INC. .

Jamie is registered as a RR (Registered Representative) and started their career in finance in 2021. Jamie has worked at 2 firms and has passed the Series 63, SIE and Series 7TO exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jamie Ngo

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) - BD

Click below to view Jamie Dieu Linh Ngo's CRS (Customer Relationship Summary).

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

Current

December 19, 2025 - Present

SAPENO INC.

Office #1: 6 Derby Street, London, W1J 7AD
BD
CRD#: 124769
London,
Past

August 4, 2021 - October 9, 2025

ASANTE CAPITAL GROUP ADVISORS LLC

BD
CRD#: 155178
New York, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(12/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/4/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/2/2021
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SAPENO INC.
LIABILITY SOLUTIONS INC. | SAPENO INC. | LIABSOL INC.

CRD#: 124769 / SEC#: , 8-65721

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

Main Address
6 Derby Street, London, W1J 7AD
Mailing Address
6 Derby Street, London, W1J 7AD
Phone number
44 7951 588 928
Established
New York since 07/12/2002
Firm type
Corporation
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SAPENO PARTNERS LLPOWNER
GENDRON, KAREN MARIEFINOP1503330
MALPAS, RICHARDCEO AND CCO2282527

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

SAPENO INC.

CRD#: 124769London, W1J 7AD

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