De H. Nguyen
Professional summary
De Huu Nguyen, who also goes by De Nguyen, is a registered financial advisor currently at FINANCIAL NORTHEASTERN SECURITIES, INC. located in Fairfield, New Jersey.
De is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. De has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view De Huu Nguyen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view De Huu Nguyen's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2009 - Present
FINANCIAL NORTHEASTERN SECURITIES, INC.
Office #1: 100 Passaic Avenue One Greenbrook Corporate Center, Fairfield, NJ 07004January 5, 2009 - Present
FINANCIAL NORTHEASTERN SECURITIES, INC.
Office #1: 100 Passaic Avenue, Fairfield, NJ 07004September 22, 2008 - January 9, 2009
BARCLAYS CAPITAL INC.
March 25, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
October 11, 2004 - September 22, 2008
LEHMAN BROTHERS 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
(1/5/2009)
(1/7/2010)
(1/5/2009)
(1/5/2009)
(10/13/2009)
(2/10/2009)
(8/2/2012)
(5/22/2009)
(4/15/2015)
(5/22/2009)
(3/9/2009)
(4/22/2009)
(1/7/2010)
(1/5/2009)
(3/1/2011)
(5/23/2017)
(12/21/2010)
(1/5/2009)
(1/5/2009)
(1/5/2009)
(4/22/2009)
(11/20/2014)
(3/25/2009)
(1/5/2009)
(1/5/2011)
(5/4/2010)
(9/12/2017)
(10/5/2016)
(1/12/2009)
(1/12/2009)
(8/2/2012)
(2/20/2025)
Exams
FINRA
Current Firm
FINANCIAL NORTHEASTERN SECURITIES, INC.
CRD#: 17007 / SEC#: , 8-34883
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
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