Quyen N. Duong
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.
Quyen N Duong was a registered financial professional .
Quyen is a previously registered financial professional and started their career in finance in 2002. Quyen had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2014 - September 22, 2017
ELECTRONIC TRANSACTION CLEARING, INC.
January 28, 2014 - June 11, 2014
SIGNATOR INVESTORS, INC.
January 17, 2014 - June 6, 2014
SEIA
December 21, 2011 - October 1, 2013
CONOVER SECURITIES CORPORATION
December 21, 2011 - October 1, 2013
CONOVER CAPITAL MANAGEMENT
September 9, 2011 - October 1, 2013
CONOVER SECURITIES CORPORATION
March 14, 2007 - July 15, 2011
OPPENHEIMER & CO. INC.
May 5, 2005 - December 31, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 9, 2002 - November 3, 2003
EQUITABLE ADVISORS, LLC
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
ELECTRONIC TRANSACTION CLEARING, INC.
CRD#: 146122 / SEC#: , 8-67790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | OWNER | |
| BECKERMAN, JARRED | FINOP, PRINCIPAL FINANCIAL OFFICER | 6683745 |
| BRENNAN, WILLIAM ROBERT | PRESIDENT & CEO | 2447538 |
| COPPOLETTA, JAY CHRISTIAN | BOARD MEMBER | 6049053 |
| RAY, TERRY DAVID | PRINCIPAL OPERATIONS OFFICER | 5295510 |
| ROBBINS, JOHN FRANKLYN | CHIEF COMPLIANCE OFFICER | 1967073 |
| SPRINGER, CHRISTOPHER MICHAEL | CFO, CAO | 1814987 |
Disclosures
| Regulatory Event | 61 |
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.
