Peace B. 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.
Peace Binh Nguyen, who also goes by Peace Nguyen, was a registered financial professional .
Peace is a previously registered financial professional and started their career in finance in 2000. Peace had worked at 6 firms and has passed the Series 63, SIE 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
April 9, 2012 - June 19, 2017
THE LEADERS GROUP, INC.
June 22, 2009 - December 10, 2010
EQUITY SERVICES, INC.
August 8, 2001 - December 17, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 22, 2001 - July 13, 2001
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 13, 2000 - October 4, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 13, 2000 - October 4, 2000
OSAIC FA, 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
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
