Phuong L. Huynh
Professional summary
Phuong Lan Thi Huynh was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Phuong is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Phuong had worked at 9 firms, which includes ICG SECURITIES LTD., AMERICAN INVESTMENT SERVICES INC., PIM FINANCIAL SERVICES INC., PAULSON INVESTMENT COMPANY LLC, U.S. SECURITIES CLEARING CORP., SIGNATURE EQUITIES CORPORATION, FIRST AFFILIATED SECURITIES, FIRST AFFILIATED SECURITIES INC., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2003 - March 10, 2005
ICG SECURITIES LTD.
August 27, 2001 - June 21, 2002
AMERICAN INVESTMENT SERVICES, INC.
June 13, 1996 - August 20, 2001
PIM FINANCIAL SERVICES, INC.
October 18, 1993 - June 13, 1996
PAULSON INVESTMENT COMPANY LLC
October 19, 1990 - October 19, 1993
U.S. SECURITIES CLEARING CORP.
August 9, 1990 - October 19, 1990
SIGNATURE EQUITIES CORPORATION
May 31, 1989 - August 15, 1990
FIRST AFFILIATED SECURITIES
March 12, 1986 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
August 16, 1985 - January 22, 1986
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ICG SECURITIES LTD.
CRD#: 8351 / SEC#: , 8-25147
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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