Vietan H. Ly
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.
Vietan Hoan Ly was a registered financial advisor .
Vietan is a previously registered financial advisor and started their career in finance in 2014. Vietan had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2014 - July 18, 2014
TANGLETRADE MANAGEMENT, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
TANGLETRADE MANAGEMENT, LLC
CRD#: 152028 / SEC#: 802-114736
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 4/4/2024 |
| California | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
| Minnesota | ERA - Withdrawn | 1/23/2020 |
| New York | ERA - Withdrawn | 1/23/2020 |
| South Dakota | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
| Texas | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
| Washington | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
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.
