AN
Andy B. Nguyen
CRC-IB
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 5882961
AN
Professional summary
Andy Bao-anh Nguyen is a registered financial professional currently at CRC-IB located in San Francisco, California.
Andy is registered as a RR (Registered Representative) and started their career in finance in 2013. Andy has worked at 2 firms and has passed the Series 63, SIE, Series 82, Series 79 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Andy Bao-anh 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®
NoneExperience
Current
February 8, 2016 - Present
CRC-IB
Office #1: 201 California Street Suite 1425, San Francisco, CA 94111BD
CRD#: 158736
San Francisco, CA
Past
January 7, 2013 - February 25, 2014
VERT SECURITIES, LLC
BD
CRD#: 153270
HOUSTON, TX
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(2/23/2023)
RR
Arizona(2/23/2023)
RR
California(2/8/2016)
RR
Colorado(2/23/2023)
RR
Connecticut(2/23/2023)
RR
Delaware(2/23/2023)
RR
District of Columbia(2/23/2023)
RR
Florida(2/23/2023)
RR
Georgia(2/23/2023)
RR
Hawaii(2/11/2026)
RR
Idaho(2/23/2023)
RR
Illinois(2/23/2023)
RR
Indiana(2/23/2023)
RR
Iowa(2/23/2023)
RR
Kansas(2/23/2023)
RR
Louisiana(2/23/2023)
RR
Maine(2/23/2023)
RR
Maryland(2/23/2023)
RR
Massachusetts(2/23/2023)
RR
Michigan(2/23/2023)
RR
Minnesota(2/23/2023)
RR
Missouri(2/23/2023)
RR
Nebraska(2/23/2023)
RR
Nevada(2/23/2023)
RR
New Hampshire(2/23/2023)
RR
New Jersey(2/23/2023)
RR
New Mexico(2/23/2023)
RR
New York(3/1/2021)
RR
North Carolina(2/23/2023)
RR
North Dakota(3/13/2026)
RR
Ohio(2/23/2023)
RR
Oklahoma(12/10/2025)
RR
Pennsylvania(2/23/2023)
RR
South Dakota(12/15/2025)
RR
Texas(2/23/2023)
RR
Utah(1/13/2022)
RR
Virginia(2/23/2023)
RR
Washington(2/23/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CR
CRC-IB
CARBON REDUCTION CAPITAL, LLC | REZNICK CAPITAL MARKETS SECURITIES, LLC | CRC-IB | COHNREZNICK CAPITAL MARKETS SECURITIES, LLC | COHNREZNICK CAPITAL
CRD#: 158736 / SEC#: , 8-68918
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
220 E42nd Street 35th Floor, New York, NY 10017
Mailing Address
220 E42nd Street 35th Floor, New York, NY 10017
Phone number
(917) 472-1274
Established
Maryland since 01/14/2011
Firm type
Limited Liability Company
Fiscal year end
January
Firm Size
Small
# of Employees
FINRA licenses (39 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRC HOLDINGCO, LLC | HOLDING COMPANY/OWNER | |
| DURDEN, GARY LEE | MANAGING DIRECTOR | 6624221 |
| DURDEN, GARY LEE | CHIEF COMPLIANCE OFFICER | 6624221 |
| HOPKINS, THOMAS JOHN | FINOP, PPO, PFO | 1835087 |
| KNAPP, NICHOLAS JE | PRESIDENT | 5419499 |
| MCKENNA, CONOR WILLIAM | SENIOR MANAGING DIRECTOR | 4355571 |
| VON OESEN, BRITTA BENNETT | MANAGING DIRECTOR | 5532329 |
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
CRC-IB
CRD#: 158736San Francisco, CA 94111TRUST BUT VERIFY
Monitor Andy Nguyen
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
