Larry Siu Kwong Ngai

CRD 2353304 · Wells Fargo Advisors · San Mateo, CA

IA RegisteredBroker

Also appears in the source record as: Larry Ngai; Larry S Siu Kwong Ngai

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 6TOSIESeries 7Series 10Series 9Series 8Series 65Series 63
Registered states (13): California · Florida · Hawaii · Nevada · New York · Oklahoma · Oregon · Pennsylvania · Tennessee · Texas · Utah · Virginia · Washington
Years in the industry (source record): 29
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2353304 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (16)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
San Mateo, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
San Mateo, CA · BC capacity

start not retrieved → present
Citigroup Global Markets Inc.
Alameda, CA · IA capacity

Aug 20, 2013 → Aug 22, 2024
Citigroup Global Markets Inc.
Alameda, CA · BC capacity

Aug 20, 2013 → Aug 22, 2024
Hsbc Securities (USA) Inc.
San Francisco, CA · IA capacity

Jan 21, 2010 → Aug 28, 2013
Hsbc Securities (USA) Inc.
San Francisco, CA · BC capacity

Jan 21, 2010 → Aug 28, 2013
Lpl Financial Corporation
Oakland, CA · IA capacity

Jun 17, 2009 → Jan 5, 2010
Lpl Financial Corporation
Oakland, CA · BC capacity

Jun 17, 2009 → Jan 5, 2010
State Farm Vp Management Corp.
Bloomington, IL · BC capacity

Aug 30, 2007 → Feb 8, 2008
Tiaa-Cref Advice And Planning Services
San Francisco, CA · IA capacity

Aug 18, 2006 → Jul 30, 2007
Tiaa-Cref Individual & Institutional Services, LLC
San Francisco, CA · BC capacity

Aug 18, 2006 → Jul 30, 2007
Charles Schwab & Co., Inc.
CA · IA capacity

Sep 23, 1999 → Nov 29, 2004
Charles Schwab & Co., Inc.
Westlake, TX · BC capacity

Sep 16, 1999 → Nov 29, 2004
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Apr 22, 1999 → Aug 27, 1999
Wells Fargo Securities Inc.
San Francisco, CA · BC capacity

Oct 25, 1993 → Oct 7, 1994
Marketing One Securities, Inc.
Portland, OR · BC capacity

Jul 14, 1993 → Oct 25, 1993

Source & corrections

Where this page comes from

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