Zung T. Nguyen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Zung Tri Nguyen, who also goes by Zung Nguyen, was a registered financial professional .
Zung is a previously registered financial professional and started their career in finance in 1987. Zung had worked at 7 firms and has passed the Series 63, Series 18, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2012 - January 4, 2013
WALL STREET ACCESS
October 1, 2008 - July 22, 2010
J.P. MORGAN SECURITIES LLC
November 2, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 12, 2005 - November 17, 2006
CHASE INVESTMENT SERVICES CORP.
May 20, 2003 - July 15, 2005
J.P. MORGAN SECURITIES INC.
January 6, 1999 - January 30, 2002
AMERICAN CENTURY INVESTMENT SERVICES INC.
May 6, 1996 - March 10, 1998
ING BARING (U.S.) SECURITIES, INC.
May 8, 1995 - October 24, 1995
JPMSI
July 17, 1987 - December 23, 1992
JPMSI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 18
Date: 6/20/1987
Securities Industry Rules and Regulations ExaminationSeries 8
Date: 9/20/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
