Thanh Phuong Ngoc Torringer
Professional summary
Thanh Phuong Ngoc Torringer, who also goes by Thanh Phuong Ngoc Dinh, Thanh Phuong Ngoc Toerringer, is a registered financial professional currently at UBS FINANCIAL SERVICES INC. located in Weehawken, New Jersey and UBS SECURITIES LLC located in New York, New York.
Thanh Phuong Ngoc is registered as a RR (Registered Representative) and started their career in finance in 2022. Thanh Phuong Ngoc has worked at 2 firms and has passed the Series 16 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thanh Phuong Ngoc Torringer's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2022 - Present
UBS FINANCIAL SERVICES INC.
Office #1: 1200 Harbor Boulevard, Weehawken, NJ 07086May 12, 2022 - Present
UBS SECURITIES LLC
Office #1: 11 Madison Avenue, New York, NY 10010State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
FINRA
NYSE American LLC
New York Stock Exchange
Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
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