Stuart Ng

Current Employers

D.A. Davidson & Co.

8 Third Street North, Great Falls, MT 59401 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-10-11
TX	RA	APPROVED	2024-10-10

CA RA
APPROVED

Since 2024-10-11
TX RA
APPROVED

Since 2024-10-10

Branch Locations

Burbank, CA • United States

301 North Lake Suite 800, Pasadena, CA 91101 • 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

Organization	City	State	From	To
Lpl Financial, Llc	Burbank	CA	03/2001	10/2024
D.A. Davidson & Co.	Pasadena	CA	10/2024	Present

03/2001 → 10/2024

Lpl Financial, Llc

Burbank, CA
10/2024 → Present

D.A. Davidson & Co.

Pasadena, CA

Previous Registrations

2001-04-04 → 2024-10-24

Lpl Financial Llc

Burbank, CA

Burbank, CA

Burbank, CA

Other Businesses

1. 1/2/2013: ACT IN A FIDUCIARY CAPACITY - MAY KIDO TRUST, MAY KIDO DECEDENT; MAY WAS MY AUNT. - TIME SPENT 2%. 2. 1/22/2013: NON-VARIABLE INSURANCE DBA - INV REL - PARTNERS RETIREMENT AND WEALTH MANAGEMENT - LICENSED TO SELL LIFE, HEALTH, DISABILITY, LTC AND FIXED ANNUITY PRODUCTS. - TIME SPENT 5% - BURBANK, CA 3. 09/06/2019 - Partners Retirement and Wealth Management - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:01/01/2014 - 160 hrs/mo - 6 hrs during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-05-25
S63	Uniform Securities Agent State Law Examination	1994-04-26

S65 Uniform Investment Adviser Law Examination

2000-05-25
S63 Uniform Securities Agent State Law Examination

1994-04-26

Designations

View on SEC IAPD