Khuong 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.
Khuong Trong Nguyen, who also goes by Khuong Trong Nguyen, Khuong Trongnguyen, was a registered financial professional .
Khuong is a previously registered financial professional and started their career in finance in 1994. Khuong had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
November 11, 2013 - March 14, 2016
PORTSMOUTH FINANCIAL SERVICES
March 28, 2012 - November 12, 2013
EAST / WEST SECURITIES CORP.
March 17, 2008 - September 17, 2012
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
November 24, 2000 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
November 7, 1997 - September 29, 2000
TD AMERITRADE, INC.
April 27, 1994 - November 7, 1997
KENNEDY, CABOT & CO.
January 28, 1994 - March 11, 1994
MONTANO SECURITIES CORPORATION
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
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
