Hung H. 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.
Hung Huu Nguyen, who also goes by Tony Nguyen, was a registered financial professional .
Hung is a previously registered financial professional and started their career in finance in 1986. Hung had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 1997 - September 1, 2000
PROVIDENTIAL SECURITIES, INC.
December 13, 1994 - June 26, 1995
PROVIDENTIAL SECURITIES, INC.
November 5, 1992 - December 1, 1992
THE INVESTMENT CENTER, INC.
August 24, 1989 - November 15, 1990
A. G. EDWARDS & SONS, INC.
October 2, 1987 - August 22, 1989
LIVINGSTON SECURITIES, INC.
November 21, 1986 - January 6, 1987
BLINDER, ROBINSON & CO., INC.
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
Current Firm
PROVIDENTIAL SECURITIES, INC.
CRD#: 31189 / SEC#: , 8-45452
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
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.
