Nhan H. Do
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.
Nhan Hoi Do was a registered financial professional .
Nhan is a previously registered financial professional and started their career in finance in 2000. Nhan had worked at 2 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2001 - October 1, 2012
WORLD TRADE FINANCIAL CORPORATION
July 26, 2000 - August 27, 2001
EQUITRADE SECURITIES CORPORATION
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
Series 55
Date: 1/14/2002
Limited Representative-Equity Trader ExamCurrent Firm
WORLD TRADE FINANCIAL CORPORATION
CRD#: 42638 / SEC#: , 8-49944
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
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