Vinh Q. 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.
Vinh Q Nguyen, who also goes by VInh Nguyen, was a registered financial professional .
Vinh is a previously registered financial professional and started their career in finance in 2000. Vinh had worked at 9 firms and has passed the Series 63, Series 56, Series 55, Series 7 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
July 11, 2014 - August 28, 2015
AVATAR SECURITIES, LLC
August 30, 2011 - August 23, 2012
T3 TRADING GROUP, LLC
May 18, 2011 - May 23, 2011
AVATAR SECURITIES, LLC
October 29, 2007 - February 7, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
May 31, 2007 - July 2, 2007
SPECTRUM TRADING, LLC
July 26, 2005 - March 30, 2006
CARLIN EQUITIES, LLC
January 28, 2003 - January 9, 2004
TAFFERER TRADING, LLC
August 5, 2002 - January 22, 2003
RUMSON CAPITAL, LLC
February 14, 2002 - August 6, 2002
WORLDCO, L.L.C.
October 31, 2000 - October 5, 2001
NYLIFE SECURITIES 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
Series 56
Date: 10/28/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 2/22/2002
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
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.
