Lanh V. Bui
Professional summary
Lanh Viet Bui, who also goes by Lahn Bui, Lon Bui, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Elk Grove, California.
Lanh is registered as a RR (Registered Representative) and started their career in finance in 2004. Lanh has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lanh Viet Bui's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2020 - Present
NYLIFE SECURITIES LLC
Office #1: 9280 W Stockton Blvd Suite 200, Elk Grove, CA 95758-8073January 3, 2011 - February 12, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - February 12, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 28, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 28, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 3, 2005 - September 13, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
December 15, 2004 - September 13, 2005
IDS LIFE INSURANCE COMPANY
December 15, 2004 - September 13, 2005
AMERIPRISE FINANCIAL SERVICES, 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
(6/13/2020)
(9/16/2022)
(9/16/2022)
Exams
Series 7TO
Date: 3/1/2020
General Securities Representative ExaminationFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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
NYLIFE SECURITIES LLC
CRD#: 5167Elk Grove, CA 95758-8073TRUST BUT VERIFY
Monitor Lanh Bui
Get automatic monthly alerts on:
