Thuy Nga 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.
Thuy Nga Nguyen was a registered financial professional .
Thuy Nga is a previously registered financial professional and started their career in finance in 2001. Thuy Nga had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2016 - December 31, 2021
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
June 6, 2007 - November 30, 2016
TRADEWINDS GLOBAL INVESTORS, LLC
February 15, 2005 - June 8, 2007
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
April 24, 2001 - November 11, 2004
ROXBURY CAPITAL MANAGEMENT LLC
State Registrations and Notice Filings
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Current Firm
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
CRD#: 121876 / SEC#: 801-61379
Contact information
Red Flags
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