Steven V. Nguyen
Professional summary
Steven Vinh Nguyen, who also goes by Steven VInh Nguyen, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in San Diego, California.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 2 firms and has passed the Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Vinh Nguyen's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 25, 2023 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 2204 Garnet Ave Ste 204b, San Diego, CA 92109-3771November 30, 2011 - December 31, 2014
ALLSTATE FINANCIAL SERVICES, LLC
October 11, 2011 - November 8, 2011
PFS INVESTMENTS INC.
April 15, 2008 - December 31, 2008
PFS INVESTMENTS INC.
June 27, 1997 - December 31, 2006
PFS INVESTMENTS 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
(1/26/2023)
Exams
Series 6TO
Date: 1/24/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
