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SM

Samantha T. Mai-nguyen

EVERLAKE DISTRIBUTORS
Lincoln, NE 68508
Some features on this profile are disabled
CRD#: 5914873
SM

Professional summary

Samantha Thuy Mai-nguyen, who also goes by Thuy Thanh Mai, Thuy Thi Mai, Samantha T Mai-nguyen, Samantha Thuy Mai-nguyen, is a registered financial professional currently at EVERLAKE DISTRIBUTORS, LLC located in Lincoln, Nebraska.

Samantha is registered as a RR (Registered Representative) and started their career in finance in 2011. Samantha has worked at 2 firms and has passed the Series 63, Series 7, SIE, Series 6, Series 51 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thuy Thanh Mai | Thuy Thi Mai | Samantha T Mai-Nguyen | Samantha Thuy Mai-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) - BD

Click below to view Samantha Thuy Mai-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

July 20, 2022 - Present

EVERLAKE DISTRIBUTORS, LLC

Office #1: 115 Canopy Street Suite 401, Lincoln, NE 68508
BD
CRD#: 100460
Lincoln, NE
Past

July 12, 2017 - October 15, 2020

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

May 25, 2011 - May 18, 2015

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL

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
Nebraska
(8/29/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/19/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/24/2011
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 9/6/2017
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/9/2017
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ED
EVERLAKE DISTRIBUTORS, LLC
ALLSTATE DISTRIBUTORS, L.L.C. | EVERLAKE DISTRIBUTORS, LLC

CRD#: 100460 / SEC#: , 8-52029

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

Main Address
3100 Sanders Road, Suite 303, Northbrook, IL 60062
Mailing Address
3100 Sanders Road, Suite 303, Northbrook, IL 60062
Phone number
(847) 665-9930
Established
Delaware since 03/05/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EVERLAKE LIFE INSURANCE COMPANYPARENT OF BROKER/DEALER
FONTANA, ANGELA KAYMANAGER6503740
HARRIGAN, JULIE ANNTREASURER, CONTROLLER AND FINOP7159150
JENESKE, PATRICK JOSEPHCHIEF COMPLIANCE OFFICER4293015
KENNEDY, REBECCA DIANEPRESIDENT AND MANAGER7364296
KIRCHHOFF, THERESE MARIEAML OFFICER4548686
LARGEY, TYLER EARL BAXTERCHAIRMAN OF THE BOARD AND MANAGER7470407

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

EVERLAKE DISTRIBUTORS, LLC

CRD#: 100460Lincoln, NE 68508

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