Sai Ng, financial advisor New York NY
68 score

Sai Ng

CRD Number: 5427483
Current Firm: Hsbc Securities (usa) Inc.

Sai Ng (CRD# 5427483) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in New York, NY and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Hsbc Bank Usa, N.a. New York, NY Apr 2016 - Current < 1
Hsbc Securities (usa) Inc. New York, NY Apr 2016 - Current < 1
Hsbc Securities (usa) Inc. New York, NY Mar 2015 - Apr 2016 1
Hsbc Bank Usa N.a. New York, NY Nov 2012 - Mar 2015 2
Hsbc Bank Usa N.a. New York, NY Jan 2011 - Nov 2012 1
Axa Advisors New York, NY Nov 2010 - Jan 2011 < 1
Unemployed New York, NY Jun 2010 - Oct 2010 < 1
Jp Morgan Chase Bank Na New York, NY Apr 2008 - May 2010 2
Chase Investment Services Corp New York, NY Apr 2008 - May 2010 2
John Thomas Financial New York, NY Sep 2007 - Mar 2008 < 1
Avalon Partners New York, NY Jun 2007 - Sep 2007 < 1
Brooklyn College Brooklyn, NY Jun 2001 - Jun 2007 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2007
S65 NASAA Investment Advisors Law Examination Dec 2014
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Sai A. Ng
Phone Number: 212-525-2879
Registered State(s):
  • MD
  • NJ
By the Numbers
  • Total Assets Under Management
    2,985
    MILLIONS
  • Total Number of Accounts
    12,340
    ACCOUNTS
  • Average Account Value
    $241,893
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
68

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