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BN

Bob Nguyen

Some features on this profile are disabled
CRD#: 5560066
BN

Professional summary

Bob Nguyen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bob is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Bob had worked at 1 firm, which includes PGR SECURITIES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bobby Joseph Nguyen

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 31, 2008 - March 10, 2010

PGR SECURITIES, LLC

BD
CRD#: 133299
MOUNTAIN VIEW, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 7/29/2008
General Securities Representative Examination

Current Firm

PS
PGR SECURITIES, LLC
PGR SECURITIES, LLC

CRD#: 133299 / SEC#: , 8-66710

BD
Terminated by SEC on 02/19/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 09/14/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRIMARY GLOBAL RESEARCH, LLCHOLDING COMPANY
DAILEY, ANDREW LYTLECHIEF COMPLIANCE OFFICER, PRINCIPAL4706931
DEAN, F ALEXANDEREQUITY TRADER, PRINCIPAL2332436
SARIPELLA, PHANI KUMARCEO, FINOP, CFO, MEMBER4875051

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

PGR SECURITIES, LLC

CRD#: 133299

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