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DT

Dai Truong

ARLINGTON CAPITAL SERVICES
Birmingham, AL 35203
Some features on this profile are disabled
CRD#: 5486899
DT

Professional summary

Dai Truong, who also goes by Dai P Truong, Dai Phuoc Truong, is a registered financial professional currently at ARLINGTON CAPITAL SERVICES, LLC located in Birmingham, Alabama.

Dai is registered as a RR (Registered Representative) and started their career in finance in 2011. Dai has worked at 2 firms and has passed the Series 63, SIE, Series 79TO and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dai P Truong | Dai Phuoc Truong

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 Dai Truong's CRS (Customer Relationship Summary).
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

November 23, 2021 - Present

ARLINGTON CAPITAL SERVICES, LLC

Office #1: 2000 Morris Avenue Suite 1100, Birmingham, AL 35203
BD
CRD#: 304588
Birmingham, AL
Past

January 26, 2011 - July 2, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PALO ALTO, CA

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
Alabama
(12/4/2021)
RR
California
(6/3/2022)
RR
Colorado
(6/3/2022)
RR
Pennsylvania
(9/30/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/23/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/10/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 1/25/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ARLINGTON CAPITAL SERVICES, LLC
ARLINGTON CAPITAL SERVICES, LLC

CRD#: 304588 / SEC#: , 8-70361

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

Main Address
2000 Morris Avenue Suite 1100, Birmingham, AL 35203
Mailing Address
2000 Morris Avenue Suite 1100, Birmingham, AL 35203
Phone number
(205) 488-4380
Established
Alabama since 05/22/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARLINGTON CAPITAL ADVISORS, LLCOWNER
BROWN, SCOTTCHIEF FINANCIAL OFFICER6694802
BROWN, SCOTTFINOP6694802
BROWN, SCOTT LESLIEPOO6694802
HONEYCUTT, JAMES WADEPRESIDENT5960997
HONEYCUTT, JAMES WADECCO5960997

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

ARLINGTON CAPITAL SERVICES, LLC

CRD#: 304588Birmingham, AL 35203

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