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DN

Dan Q. Nguyen

ESSEX SECURITIES LLC
Jersey City, NJ 07302
Some features on this profile are disabled
CRD#: 4200300
DN

Professional summary

Dan Quoc Nguyen, who also goes by Dan Winn, is a registered financial professional currently at ESSEX SECURITIES LLC located in Jersey City, New Jersey.

Dan is registered as a RR (Registered Representative) and started their career in finance in 2000. Dan has worked at 10 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Winn

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) - BD

Click below to view Dan Quoc Nguyen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 4, 2023 - Present

ESSEX SECURITIES LLC

Office #1: 95 Christopher Columbus Dr Suite 16-11, Jersey City, NJ 07302
BD
CRD#: 46605
Jersey City, NJ
Past

February 2, 2022 - December 1, 2022

NFSG CORPORATION

RIA
CRD#: 130814
San Francisco, CA
Past

October 10, 2017 - December 1, 2022

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

July 20, 2017 - September 25, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN FRANCISCO, CA
Past

July 20, 2017 - September 25, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN FRANCISCO, CA
Past

September 29, 2011 - July 25, 2017

SB ADVISORY, LLC

RIA
CRD#: 154680
SAN FRANCISCO, CA
Past

November 3, 2009 - July 25, 2017

IFS SECURITIES

BD
CRD#: 40375
SAN FRANCISCO, CA
Past

January 2, 2009 - November 2, 2009

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
SAINT PETERSBURG, FL
Past

September 11, 2008 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
SAN FRANCISCO, CA
Past

September 9, 2008 - November 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SAN FRANCISCO, CA
Past

February 10, 2004 - July 28, 2008

M.L. STERN & CO., LLC.

RIA
CRD#: 8327
SAN FRANCISCO, CA
Past

June 12, 2002 - July 28, 2008

M.L. STERN & CO., LLC.

BD
CRD#: 8327
SAN FRANCISCO, CA
Past

November 10, 2000 - December 11, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/4/2023)
RR
New Jersey
(8/8/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/10/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 2/20/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
ESSEX SECURITIES LLC
EASTERN POINT DISTRIBUTORS, LLC | INVESTORS MARKETING WHOLESALE SERVICES | INVESTORS MARKETING SERVICES | FIRST ESSEX SECURITIES, LLC. | ESSEX SECURITIES LLC

CRD#: 46605 / SEC#: , 8-51472

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
95 Christopher Columbus Dr Suite 16-11, Jersey City, NJ 07302
Mailing Address
Po Box 3602, Jersey City, NJ 07303-3602
Phone number
(201) 777-7121
Established
Massachusetts since 12/27/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ES GROUP, INCOWNER
BEATON, DANIEL STEWARTFINOPS4240769
GUPTA, PRAKASHCHIEF EXECUTIVE OFFICER5784605
SHEPETIN, LLOYD ECHIEF COMPLIANCE OFFICER1263121

Disclosures

Regulatory Event3

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

ESSEX SECURITIES LLC

CRD#: 46605Jersey City, NJ 07302

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