Richard V. Nguyen
Professional summary
Richard Vu Nguyen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Richard had worked at 1 firm, which includes PROVIDENTIAL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 1994 - July 21, 1995
PROVIDENTIAL SECURITIES, 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 28
Date: 9/6/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PROVIDENTIAL SECURITIES, INC.
CRD#: 31189 / SEC#: , 8-45452
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
Red Flags
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