Luong D. 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.
Luong Duy Nguyen, who also goes by Louie Duy Nguyen, was a registered financial professional .
Luong is a previously registered financial professional and started their career in finance in 1996. Luong had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2008 - October 19, 2016
SOLEDAD INVESTMENT MANAGEMENT, LLC
April 5, 2005 - July 21, 2011
NEEDELMAN ASSET MANAGEMENT INC
May 23, 2003 - November 13, 2003
MEDIUS CAPITAL GROUP, LLC
July 25, 1996 - March 11, 2003
BRANDES INVESTMENT PARTNERS, LP
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
SOLEDAD INVESTMENT MANAGEMENT, LLC
CRD#: 145975 / SEC#: 801-72884
Contact information
Red Flags
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