Mr. Ngo is a Vice President in the Ares Global Client Solutions Group, where he focuses on broker dealer sales supervision. Prior to joining Ares in 2019, Mr. Ngo was Director of Operations, Office of Supervisory Jurisdiction of VFG Securities Inc./VFG Advisors (VFG), where he focused on supervision of alternative investments. Previously, he was an Assistant Vice President of Credit Services with Pershing LLC, a subsidiary of The Bank of New York Mellon, where he was responsible for fed fund wire and COD/DVP order flow. Additionally, Mr. Ngo was an Operations Manager at ING Advisors Network (aka Cetera Financial Group), where he provided back office support for broker dealers and registered representatives. He holds a B.B.A. from the University of Texas, Arlington in Business Administration and Finance. Additionally, he holds the following FINRA Series 4, 6, 7, 9/10, 24, 53, 55, 63, 65, 99 licenses.
Los Angeles