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Detailed Report
NORMAN FRANKLIN NG
NORMAN F. NG, NORMAN NG
CRD#: 2490413
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1333 North California Boulevard
Suite 133
Walnut Creek, CA 94596
Registration History
19952000200520102015202020252 FIRMS2015 - Present (9 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - 2015 (7 years)BGOLDMAN, SACHS & CO. (CRD# 361)1998 - 2007 (9 years)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1994 - 1998 (3 years)BLEHMAN BROTHERS INC. (CRD# 7506)1994 - 1994 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2012 - 2015 (3 years)
License(s)

State Registrations

B
Alabama 4/9/2019
B
Nebraska 2/15/2019
B
Alaska 7/27/2018
B
Nevada 7/27/2018
B
Arizona 7/27/2018
B
New Hampshire 4/9/2019
B
Arkansas 2/15/2019
B
New Jersey 7/27/2018
B
California 8/10/2015
B
New Mexico 7/27/2018
IA
California 8/10/2015
B
New York 7/27/2018
B
Colorado 7/27/2018
B
North Carolina 2/15/2019
B
Connecticut 7/27/2018
B
North Dakota 2/15/2019
B
Delaware 7/27/2018
B
Ohio 4/9/2019
B
District of Columbia 4/9/2019
B
Oklahoma 4/9/2019
B
Florida 7/27/2018
B
Oregon 7/27/2018
B
Georgia 7/27/2018
B
Pennsylvania 7/27/2018
B
Hawaii 7/27/2018
B
Puerto Rico 2/15/2019
B
Idaho 4/9/2019
B
Rhode Island 2/15/2019
B
Illinois 7/27/2018
B
South Carolina 2/15/2019
B
Indiana 2/15/2019
B
South Dakota 2/15/2019
B
Iowa 4/9/2019
B
Tennessee 4/9/2019
B
Kansas 4/9/2019
B
Texas 7/27/2018
B
Kentucky 4/9/2019
IA
Texas 4/9/2019
B
Louisiana 4/9/2019
B
Utah 7/27/2018
B
Maine 4/9/2019
B
Vermont 7/27/2018
B
Maryland 4/9/2019
B
Virgin Islands 4/9/2019
B
Massachusetts 7/27/2018
B
Virginia 4/9/2019
B
Michigan 4/9/2019
B
Washington 7/27/2018
B
Minnesota 2/15/2019
B
West Virginia 4/9/2019
B
Mississippi 2/15/2019
B
Wisconsin 2/15/2019
B
Missouri 4/9/2019
B
Wyoming 4/9/2019
B
Montana 4/5/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
1333 North California Boulevard Suite 133, Walnut Creek, CA 94596
2725 Sand Hill Road PWM, Menlo Park, CA 94025
Registered with this firm since 8/10/2015
B
MORGAN STANLEY (CRD#:149777)
1333 North California Boulevard Suite 133, Walnut Creek, CA 94596
2725 Sand Hill Road PWM, Menlo Park, CA 94025
Registered with this firm since 8/10/2015
Previous Registration(s)
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IA
 02/01/2012 - 07/15/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN FRANCISCO, CA
B
 10/11/2007 - 07/15/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN FRANCISCO, CA
B
 08/14/1998 - 10/08/2007 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
B
 10/01/1994 - 01/29/1998 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
B
 05/27/1994 - 09/21/1994 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.