Vinh H. Nguyen
Professional summary
Vinh Huu Nguyen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vinh is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Vinh had worked at 3 firms, which includes U.S. RICA FINANCIAL INC., ACUMENT SECURITIES INC., QUEST CAPITAL STRATEGIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 1996 - February 26, 2003
U.S. RICA FINANCIAL, INC.
December 22, 1993 - July 10, 1996
ACUMENT SECURITIES, INC.
August 25, 1993 - December 2, 1993
QUEST CAPITAL STRATEGIES, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 2/2/2000
Limited Representative-Equity Trader ExamCurrent Firm
U.S. RICA FINANCIAL, INC.
CRD#: 38742 / SEC#: , 8-48380
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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