Glenn Ng: Park Avenue Advisor Barred by FINRA

Former San Diego financial advisor Glenn Ng (CRD# 7200876) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Park Avenue Securities, having previously been registered with Northwestern Mutual Investment Services.

Mr. Ng’s BrokerCheck report discloses his sanction by FINRA. Filed in March 2025, it states that he “refused to produce information and documents requested by FINRA in connection with its investigation into whether he had participated in a potential private securities transaction away from his member firm.” As a result, FINRA indefinitely barred him from registering with any member firm in any capacity.

A second disclosure on his BrokerCheck report concerns his termination from Park Avenue Securities. Filed in March 2025, it states that the firm fired him “after he was barred from associating with any FINRA member in all capacities pursuant to a signed Acceptance, Waiver & Consent agreement with FINRA.”

According to the Financial Industry Regulatory Authority, Glenn Ng holds three years of securities industry experience. Most recently based in San Diego, California, he was registered as a broker with Park Avenue Securities from 2023 until 2025. His registration history includes Northwestern Mutual Investment Services’ office in Carlsbad, California, where he was registered from 2022 until 2023. His credentials include the passage of three securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6TO; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63. He is not currently registered with any broker-dealer firm or licensed as a broker with any state, having been barred by FINRA. (Information current as of June 25, 2025.)

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