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LN

Lan K. Nguyen

Some features on this profile are disabled
CRD#: 3080913
LN

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.

Lan K Nguyen, who also goes by Lan Kevin Nguyen, was a registered financial professional .

Lan is a previously registered financial professional and started their career in finance in 1998. Lan had worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lan Kevin Nguyen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 1, 2011 - November 6, 2012

BEDMINSTER FINANCIAL GROUP, LIMITED

BD
CRD#: 39916
HOLICONG, PA
Past

March 20, 2008 - July 20, 2011

BEDMINSTER FINANCIAL GROUP, LIMITED

BD
CRD#: 39916
HOLICONG, PA
Past

August 2, 2005 - January 12, 2007

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY
Past

February 15, 2005 - June 24, 2005

OBERON SECURITIES, LLC

BD
CRD#: 132598
NEW YORK, NY
Past

April 14, 2004 - July 5, 2004

BEDMINSTER FINANCIAL GROUP, LIMITED

BD
CRD#: 39916
HOLICONG, PA
Past

October 11, 2000 - April 24, 2002

DRESDNER KLEINWORT WASSERSTEIN, LLC

BD
CRD#: 22068
NEW YORK, NY
Past

July 29, 1998 - October 6, 2000

JPMSI

BD
CRD#: 15733
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1998
General Securities Representative Examination

Current Firm

BF
BEDMINSTER FINANCIAL GROUP, LIMITED
BEDMINSTER FINANCIAL GROUP, LIMITED | PRIME CORE, INC.

CRD#: 39916 / SEC#: , 8-48909

BD
Terminated by SEC on 02/17/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/20/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
VANPELT, ROBERT MARTINCHIEF COMPLIANCE OFFICER453274
VANPELT, ROBERT MARTINCHIEF FIANCIAL OFFICER/ CHAIRMAN453274
VANPELT, ROBERT MARTINPRESIDENT CEO453274

Disclosures

Regulatory Event2

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.

Company Information

BEDMINSTER FINANCIAL GROUP, LIMITED

CRD#: 39916

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