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Ka Ho Ngai
CRD#: 6393100
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
PBIG - SAN FRANCISCO
SAN FRANCISCO, CA 94104
Registration History
20142015201620172018201920202021202220232024202520263 FIRMS2017 - 2021 (3 years)2 FIRMS2021 - Present (3 years)BE*TRADE SECURITIES LLC (CRD# 29106)2014 - 2017 (2 years)IAE*TRADE CAPITAL MANAGEMENT, LLC (CRD# 42159)2015 - 2017 (2 years)
License(s)

State Registrations

B
Alaska 6/28/2021

B
Nebraska 6/28/2021

B
Arizona 12/5/2022

B
Nevada 6/25/2021

B
Arkansas 6/28/2021

B
New Hampshire 6/28/2021

B
California 6/24/2021

B
New Jersey 6/28/2021

IA
California 6/24/2021

B
New Mexico 6/28/2021

B
Colorado 6/25/2021

B
New York 6/25/2021

B
Connecticut 6/28/2021

B
North Carolina 6/28/2021

B
Delaware 6/28/2021

B
North Dakota 6/28/2021

B
District of Columbia 6/28/2021

B
Ohio 6/28/2021

B
Florida 6/25/2021

B
Oklahoma 6/28/2021

B
Georgia 6/28/2021

B
Oregon 6/28/2021

B
Hawaii 6/25/2021

B
Pennsylvania 6/28/2021

B
Idaho 6/28/2021

B
Puerto Rico 6/28/2021

B
Illinois 6/28/2021

B
Rhode Island 6/28/2021

B
Indiana 6/25/2021

B
South Carolina 6/28/2021

B
Iowa 6/28/2021

B
South Dakota 6/28/2021

B
Kansas 6/28/2021

B
Tennessee 6/28/2021

B
Kentucky 6/28/2021

B
Texas 6/28/2021

B
Louisiana 6/28/2021

IA
Texas 6/29/2021

B
Maine 6/28/2021

B
Utah 6/28/2021

B
Maryland 6/28/2021

B
Vermont 6/28/2021

B
Massachusetts 6/28/2021

B
Virginia 6/28/2021

B
Michigan 6/28/2021

B
Washington 6/28/2021

B
Minnesota 6/28/2021

B
West Virginia 6/28/2021

B
Mississippi 6/28/2021

B
Wisconsin 6/28/2021

B
Missouri 6/28/2021

B
Wyoming 6/28/2021

B
Montana 6/28/2021

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST PBIG - SAN FRANCISCO, SAN FRANCISCO, CA 94104
4900 HOPYARD RD, PLEASANTON, CA 94588
Registered with this firm since 6/24/2021

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST PBIG - SAN FRANCISCO, SAN FRANCISCO, CA 94104
4900 HOPYARD RD, PLEASANTON, CA 94588
Registered with this firm since 6/24/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/18/2017 - 04/29/2021 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
11/28/2017 - 04/29/2021 CITI PRIVATE ADVISORY, LLC (CRD#:153777) San Francisco, CA
B
08/18/2017 - 04/29/2021 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
IA
03/13/2015 - 08/10/2017 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) SAN FRANCISCO, CA
B
11/22/2014 - 08/10/2017 E*TRADE SECURITIES LLC (CRD#:29106) SAN FRANCISCO, CA
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B
Broker
IA
Investment Adviser
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.