John D. Nguyen

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CRD#: 2008787

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.

John D Nguyen was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1995. John had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 1, 1995 - March 28, 2014

JDN CAPITAL MANAGEMENT, L.P.

RIA

CRD#: 111788

SAN RAMON, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

JDN CAPITAL MANAGEMENT, L.P.

JDN CAPITAL MANAGEMENT, L.P. | PLEIADES INVESTMENT PARTNERS, M.L.P

CRD#: 111788 / SEC#: 802-79518

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Contact information

Main Address

2420 Camino Ramon, #222, San Ramon, CA 94583

Mailing Address

Phone number

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	10/15/2019
California	ERA - Withdrawn - Failed to Renew	12/31/2018

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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