Thang D. 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.
Thang D Nguyen, who also goes by Thang Duc Nguyen, was a registered financial professional .
Thang is a previously registered financial professional and started their career in finance in 1996. Thang had worked at 2 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2021 - March 10, 2022
CROSSMARK DISTRIBUTORS, INC.
October 2, 2007 - May 4, 2021
INVESCO DISTRIBUTORS, INC.
February 13, 1996 - December 18, 2006
INVESCO DISTRIBUTORS, 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
Current Firm
CROSSMARK DISTRIBUTORS, INC.
CRD#: 14970 / SEC#: , 8-30994
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROSSMARK GLOBAL HOLDINGS, INC. | PARENT COMPANY | |
| COPPEDGE, JIM ANTHONY | GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER / PRINCIPAL | 3275004 |
| LINDSEY, HEATHER TREIGLE | PRESIDENT / CHIEF EXECUTIVE OFFICER / DIRECTOR | 2646043 |
| MIMS, PATRICIA | FINOP | 6954516 |
| WYNANT, SCOTT HOWARD | EXECUTIVE VICE PRESIDENT / PRINCIPAL | 1037373 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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