Tuyen L. 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.
Tuyen Linh Nguyen, who also goes by Tim Nguyen, was a registered financial professional .
Tuyen is a previously registered financial professional and started their career in finance in 1991. Tuyen had worked at 9 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 1997 - August 11, 2005
FIDELITY ASSET MANAGEMENT, INC.
June 27, 1997 - December 1, 1997
SECURITIES SERVICE NETWORK, LLC
October 16, 1996 - November 14, 1996
UBS FINANCIAL SERVICES INC.
June 24, 1994 - December 31, 1994
VOYA FINANCIAL ADVISORS, INC.
February 1, 1993 - September 28, 1993
CETERA ADVISORS LLC
May 16, 1991 - February 8, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 16, 1991 - February 8, 1993
PRUCO SECURITIES, LLC.
January 14, 1991 - May 2, 1991
IDS LIFE INSURANCE COMPANY
January 14, 1991 - May 2, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
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 55
Date: 1/15/2001
Limited Representative-Equity Trader ExamCurrent Firm
FIDELITY ASSET MANAGEMENT, INC.
CRD#: 40925 / SEC#: , 8-49243
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHIKAN YU | STOCKHOLDER | |
| NGUYEN, TUYEN LINH | CEO/CCO; SROP/CROP | 2117656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
