NGC Financial, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
NGC Financial, LLC provides fee-based investment advisory and financial planning services primarily to individuals and high‑net‑worth clients and also offers advice to businesses on employer retirement plans. The firm delivers portfolio management and securities execution while custodial and clearing services are provided by a third‑party custodian.
The firm follows a customized, tactical allocation approach that uses CDs, mutual funds, ETFs, annuities, municipal securities, variable life insurance and selective individual securities to adjust sector weightings and manage risk. Accounts are managed on a non‑discretionary basis, monitored regularly, and rebalanced or re‑optimized as deemed appropriate.
The firm is distinctive among solo independent advisers in maintaining an affiliation with a FINRA‑registered broker‑dealer and operating in a registered representative capacity, including the potential to receive commissions and to sell insurance products, while also having an affiliated tax and accounting practice; the principal devotes roughly one‑third of their time to tax and accounting services. It reports that all assets are managed non‑discretionarily (about $71.9 million as of June 30, 2026), discloses the resulting conflicts of interest, and notes operational practices such as not aggregating client trades.
Client services
Expertise
Fee options
Fixed fee of $2,500 per plan, payable in advance, negotiable
$0 - $999,999: 1.20% $1,000,000+: 1.00%
May receive commissions from insurance products and mutual funds sales; commissions may create conflicts of interest.
$250 per hour, negotiable in advance
Main office
3601 208th Street
Bayside NY 11361
Advisors at this office
1
Most active in
New York · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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