Viet Q. Nguyen
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.
Viet Quoc Nguyen, who also goes by VIet Nguyen, was a registered financial professional .
Viet is a previously registered financial professional and started their career in finance in 2008. Viet had worked at 2 firms and has passed the Series 63, 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
May 11, 2015 - May 26, 2020
RIVERSTONE CAPITAL SERVICES LLC
September 1, 2008 - July 15, 2010
GOLDMAN SACHS & CO. 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
RIVERSTONE CAPITAL SERVICES LLC
CRD#: 172056 / SEC#: , 8-69497
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RIVERSTONE EQUITY PARTNERS LP | PARENT | |
| ABBATE, CHRISTOPHER ANTHONY | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER | 2910866 |
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.
