Davis D. 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.
Davis D Nguyen, who also goes by Davis Duy Nguyen, Tan Duy Nguyen, was a registered financial professional .
Davis is a previously registered financial professional and started their career in finance in 2004. Davis had worked at 7 firms and has passed the Series 65, Series 63, SIE, 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
September 26, 2016 - June 27, 2018
AVANTAX ADVISORY SERVICES
April 2, 2009 - June 27, 2018
AVANTAX INVESTMENT SERVICES, INC.
January 11, 2007 - February 21, 2008
QUEST CAPITAL STRATEGIES, INC.
January 11, 2007 - February 21, 2008
QUEST CAPITAL STRATEGIES, INC.
April 20, 2005 - April 13, 2006
REGAL SECURITIES, INC.
April 12, 2005 - November 30, 2006
SCF INVESTMENT ADVISORS, INC.
January 3, 2005 - November 30, 2006
SCF SECURITIES, INC.
January 26, 2004 - November 4, 2004
FARMERS FINANCIAL SOLUTIONS, 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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
