Xuong 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.
Xuong Tho Nguyen was a registered financial professional .
Xuong is a previously registered financial professional and started their career in finance in 1992. Xuong had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 30 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2016 - July 12, 2017
STERNE, AGEE & LEACH, INC.
July 29, 2016 - July 5, 2018
INTL CUSTODY & CLEARING SOLUTIONS INC.
July 29, 2016 - August 21, 2020
STONEX SECURITIES INC.
October 11, 2012 - July 24, 2024
STONEX FINANCIAL INC.
September 22, 2000 - December 1, 2000
BANC ONE CAPITAL MARKETS, INC.
June 22, 1992 - June 29, 1992
CHATFIELD DEAN & 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
