Calvin K. 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.
Calvin Khanh Nguyen, who also goes by Calvin Nguyen, Khanh Gia Nguyen, was a registered financial professional .
Calvin is a previously registered financial professional and started their career in finance in 1996. Calvin had worked at 4 firms and has passed the Series 66, Series 7 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
February 21, 2006 - December 31, 2014
NGUYEN FINANCIAL LLC
August 17, 1999 - January 4, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 1999 - January 4, 2006
IDS LIFE INSURANCE COMPANY
August 14, 1999 - January 4, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
May 7, 1996 - December 31, 1996
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NGUYEN FINANCIAL LLC
CRD#: 136389 / SEC#:
Contact information
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.
