Christopher Q. Nguyen
Professional summary
Christopher Quocthai Nguyen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 2014. Prior to being barred, Christopher had worked at 2 firms, which includes TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2017 - October 16, 2017
TD AMERITRADE, INC.
June 30, 2017 - October 16, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 24, 2014 - October 16, 2017
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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