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Inactive

Tom Min Ngo

Bakeravenue

Del Mar, CA

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Current Employers
Bakeravenue

One Embarcadero Center Ste 2530, San Francisco, CA 94111 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2021-01-27
CA RA APPROVED 2019-07-11
  • WA RA
    APPROVED
    Since 2021-01-27
  • CA RA
    APPROVED
    Since 2019-07-11

Branch Locations

12636 High Bluff Dr Ste 400-11722, Del Mar, CA 92130 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Iconiq Capital San Francisco CA 09/2013 11/2017
10X Group, Llc San Francisco CA 11/2017 08/2019
Baker Avenue Asset Management Lp San Francisco CA 01/2018 06/2019
Baker Avenue Asset Management Lp San Francisco CA 07/2019 Present
Veridi Capital, Llc San Francisco CA 05/2019 12/2021
  • 09/2013 → 11/2017
    Iconiq Capital
    San Francisco, CA
  • 11/2017 → 08/2019
    10X Group, Llc
    San Francisco, CA
  • 01/2018 → 06/2019
    Baker Avenue Asset Management Lp
    San Francisco, CA
  • 07/2019 → Present
    Baker Avenue Asset Management Lp
    San Francisco, CA
  • 05/2019 → 12/2021
    Veridi Capital, Llc
    San Francisco, CA
Previous Registrations
  • 2019-07-16 → 2021-12-31
    Veridi Capital
    San Francisco, CA
  • 2015-05-01 → 2018-07-27
    Iconiq Capital, Llc
    San Francisco, CA
  • 2006-07-07 → 2006-10-03
    Aura Asset Management, Inc.
    Birmingham, AL
  • 2002-12-10 → 2004-06-29
    Wells Fargo Investments, Llc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-05-01
S66 Uniform Combined State Law Examination 2002-12-07
  • S65 Uniform Investment Adviser Law Examination
    2015-05-01
  • S66 Uniform Combined State Law Examination
    2002-12-07
Designations

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
U.S. BANCORP ADVISORS, LLC
FIRST TURN MANAGEMENT, LLC
FOCUS INVESTMENT ADVISORS, INC
LPL FINANCIAL LLC
KARMEL CAPITAL MANAGEMENT LLC
LT1 CAPITAL LLC

Other Investors

Bradley S Cooperman
Adrian Fredrick Schulz
ANNETTE LOUISE YOUNG
RONALD D LANDELIUS
Jason French
VANESSA LYNN GRILLO
NOZOMI LAUGHY
Ian Kelly-Thomas

Other Offices

J.P. MORGAN SECURITIES LLC · DEL MAR, CA
J.P. MORGAN SECURITIES LLC · Del Mar, CA
J.P. MORGAN SECURITIES LLC · Del Mar, CA
J.P. MORGAN SECURITIES LLC · Del Mar, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Del Mar, CA
U.S. BANCORP ADVISORS, LLC · Del Mar, CA
FIRST TURN MANAGEMENT, LLC · SOLANA BEACH, CA
FOCUS INVESTMENT ADVISORS, INC · SOLANA BEACH, CA

More in Del Mar, CA

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