Fuongda V. Bui
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.
Fuongda Vu Bui, who also goes by Fonda Bui, Nana Bui, was a registered financial professional .
Fuongda is a previously registered financial professional and started their career in finance in 2005. Fuongda had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2014 - January 17, 2017
TD AMERITRADE, INC.
September 12, 2007 - August 19, 2014
AVANTAX INVESTMENT SERVICES, INC.
January 19, 2006 - July 9, 2007
WELLS FARGO INVESTMENTS, LLC
September 28, 2005 - July 9, 2007
WELLS FARGO INVESTMENTS, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
