TN
Thuong X. Nguyen
TRANSAMERICA FINANCIAL ADVISORS
Houston, TX 77027
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CRD#: 4461020
TN
Professional summary
Thuong Xuan Cao Nguyen, who also goes by Anthony Nguyen, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Houston, Texas.
Thuong is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thuong has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony Nguyen
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. LSPN Pro, LLC / 0621-Present / Investment Related: No /100 N. State Street, Ste B, Lindon, UT 84042 / Independent Rep / Estate Planning Services / Hrs. Work Monthly: 5 / Sec Trading Hrs.: 1 / Client communications, Marketing, and referring potential clients Sales of insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. BLUE CROSS AND BLUE SHIELD OF TEXAS/INVESTMENT RELATED-NO/1001 E. LOOKOUT DRIVE, RICHARDSON, TX 75082/11-1-2014/80/4/ENROLL CLIENTS IN HEALTH PLANS DURING ENROLLMENT PERIOD. HEALTH INSURANCE/NO/3726 GEESE ROUTE, ROUND ROCK, TX 78665/HEALTH INSURANCE, MEDICARE INSURANCE, DENTAL INSURANCE/AGENT/02.26.2014/80/2/EDUCATE CLIENTS ABOUT HEALTH INSURANCE AND ENROLL CLIENT IN HEALTH, DENTAL, MEDICARE INSURANCE PLANS. ADVANCE TECHNICAL RESOURCES/no/Austin, TX/build computers/7/2004
CRS (Client Relationship Summary) - RIA
Click below to view Thuong Xuan Cao Nguyen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thuong Xuan Cao Nguyen's 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®
NoneExperience
Current
March 21, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 550 Post Oak Blvd Suite 390, Houston, TX 77027RIA
BD
CRD#: 16164
Houston, TX
Current
July 1, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 550 Post Oak Blvd Suite 390, Houston, TX 77027RIA
BD
CRD#: 16164
Houston, TX
Past
April 12, 2002 - October 16, 2006
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
December 21, 2001 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Texas(7/16/2015)
IAR
Texas(3/21/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Houston, TX 77027TRUST BUT VERIFY
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