Hung T. 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.
Hung Thanh Nguyen was a registered financial professional .
Hung is a previously registered financial professional and started their career in finance in 2004. Hung had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2014 - January 31, 2017
NEXBANK SECURITIES INC
August 20, 2014 - February 21, 2017
NEXPOINT SECURITIES, INC.
September 12, 2011 - August 19, 2014
PROVASI CAPITAL PARTNERS LP
July 28, 2010 - August 24, 2011
CLARK INVESTMENT STRATEGIES, INC.
July 28, 2010 - August 24, 2011
CLARK SECURITIES, INC.
October 23, 2009 - July 27, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 27, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 16, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 26, 2006 - July 6, 2007
TD AMERITRADE, INC.
June 6, 2005 - January 30, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 22, 2004 - January 30, 2006
TD AMERITRADE CLEARING, INC.
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
NEXBANK SECURITIES INC
CRD#: 133267 / SEC#: 801-111780, 8-66705
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 882,487 |
Disclosures
| Regulatory Event | 2 |
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.
