Phat V. Duong
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.
Phat V Duong, who also goes by David VInh Duong, Phat Vinh Duong, was a registered financial professional .
Phat is a previously registered financial professional and started their career in finance in 2005. Phat had worked at 2 firms and has passed the Series 63, Series 7, Series 87 and Series 86 exams.
Question & Answer
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Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2011 - March 28, 2012
D/B/A CLARKSONS PLATOU SECURITIES
October 10, 2005 - March 4, 2008
SIMMONS & COMPANY INTERNATIONAL
State Registrations and Notice Filings
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Exams
Current Firm
D/B/A CLARKSONS PLATOU SECURITIES
CRD#: 113325 / SEC#: , 8-53308
Contact information
Documents
Red Flags
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