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JN

Jonathan Q. Nguyen

WILLIAM HOOD & COMPANY
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 5186145
JN

Professional summary

Jonathan Q Nguyen is a registered financial professional currently at WILLIAM HOOD & COMPANY located in New York, New York.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2016. Jonathan has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathan Q Nguyen's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 12, 2019 - Present

WILLIAM HOOD & COMPANY

Office #1: 1330 Avenue Of The Americas 6th Floor, New York, NY 10019
BD
CRD#: 293416
NEW YORK, NY
Past

August 27, 2016 - August 20, 2018

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/6/2022)
RR
Colorado
(12/6/2022)
RR
Connecticut
(12/6/2022)
RR
Florida
(12/6/2022)
RR
Illinois
(12/6/2022)
RR
Maryland
(8/21/2023)
RR
New Jersey
(12/6/2022)
RR
New York
(6/21/2019)
RR
Texas
(12/6/2022)
RR
Utah
(12/6/2022)
RR
Wisconsin
(12/6/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/2/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/20/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/27/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WH
WILLIAM HOOD & COMPANY
WILLIAM HOOD & COMPANY | WILLIAM HOOD & COMPANY LLC.

CRD#: 293416 / SEC#: , 8-70124

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1330 Avenue Of The Americas 6th Floor, New York, NY 10019
Mailing Address
1330 Avenue Of The Americas 6th Floor, New York, NY 10019
Phone number
(212) 365-5293
Established
Delaware since 06/26/2017
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WHC HOLDINGS COMPANY, LLCOWNER
HOOD, WILLIAM STEPHENPRESIDENT, CEO, CCO2650571
ROMERO, MONIQUE VICTORIAFINOP6712654
RYAN, JILLIAN DEEMANAGING DIRECTOR6915536

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

WILLIAM HOOD & COMPANY

CRD#: 293416New York, NY 10019

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