Linh X. Vuong
Professional summary
Linh Xavier Vuong, who also goes by Linh X Vuong, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Linh is registered as a RR (Registered Representative) and started their career in finance in 1994. Linh has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Linh Xavier Vuong's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 7, 2021 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003September 28, 2012 - May 1, 2019
INDEPENDENT INVESTMENT BANKERS, CORP.
June 1, 2009 - February 18, 2010
MORGAN STANLEY
June 1, 2009 - February 18, 2010
MORGAN STANLEY
July 8, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 16, 1994 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 17, 1994 - September 29, 1994
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
(5/10/2021)
(10/11/2024)
(6/26/2024)
(6/30/2023)
(9/25/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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