PN
Pei Yin Ng
GLOBAL ATLANTIC DISTRIBUTORS
Des Moines, IA 50309
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CRD#: 7349229
PN
Professional summary
Pei Yin Ng, who also goes by Pei Ng, is a registered financial professional currently at GLOBAL ATLANTIC DISTRIBUTORS, LLC located in Des Moines, Iowa.
Pei Yin is registered as a RR (Registered Representative) and started their career in finance in 2021. Pei Yin has worked at 1 firm and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Pei Ng
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.
CRS (Client Relationship Summary) - BD
Click below to view Pei Yin Ng'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®
NoneExperience
Current
July 16, 2021 - Present
GLOBAL ATLANTIC DISTRIBUTORS, LLC
Office #1: 215 10th Street, Des Moines, IA 50309BD
CRD#: 8326
Des Moines, IA
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
Iowa(10/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/10/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 7/16/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GA
GLOBAL ATLANTIC DISTRIBUTORS, LLC
FORETHOUGHT DISTRIBUTORS, LLC | PLANCO FINANCIAL SERVICES, LLC | PLANCO FINANCIAL SERVICES, INC. | HARTFORD LIFE DISTRIBUTORS, LLC | GLOBAL ATLANTIC DISTRIBUTORS, LLC
CRD#: 8326 / SEC#: , 8-25027
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
Mailing Address
One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
Phone number
(877) 454-4777
Established
Delaware since 12/15/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLOBAL ATLANTIC (FIN) COMPANY | OWNER | |
| BICKLER, JASON ALEXANDER | PRESIDENT AND MANAGER | 4164884 |
| MOORCROFT, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER | 4258952 |
| NELSON, PAULA GENEVIEVE | MANAGER, HEAD OF DISTRIBUTION | 2015528 |
| PAULOUSKY, MICHAEL RYAN | TREASURER | 7339297 |
| RAMOS, SAMUEL | GENERAL COUNSEL AND SECRETARY | 6722343 |
| RIP, OLGA | FINOP AND CHIEF FINANCIAL OFFICER | 5440553 |
| RUTHERFORD, KELLY JUNE | SENIOR VICE-PRESIDENT | 7282305 |
| SIEGEL, DEAN CYRUS | VICE PRESIDENT | 3224832 |
| TODD, ERIC DAVID | MANAGER | 2175308 |
| WEISS, DAVID LEE | SENIOR VICE PRESIDENT | 2345057 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
GLOBAL ATLANTIC DISTRIBUTORS, LLC
CRD#: 8326Des Moines, IA 50309TRUST BUT VERIFY
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