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MN

Minh Alexander H. Nguyen

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CRD#: 6543978
MN

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Minh Alexander Huy Nguyen, who also goes by Alex Nguyen, was a registered financial professional .

Minh Alexander is a previously registered financial professional and started their career in finance in 2015. Minh Alexander had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex 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

August 25, 2015 - June 5, 2017

MERCURY CAPITAL ADVISORS, LLC

BD
CRD#: 152338
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 9/4/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/2015
General Securities Representative Examination

Current Firm

MC
MERCURY CAPITAL ADVISORS, LLC
MERCURY CAPITAL ADVISORS, LLC

CRD#: 152338 / SEC#: , 8-68442

BD
Cancelled by SEC on 09/16/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MERCURY CAPITAL ADVISORS GROUP, LPHOLDING COMPANY
D'SOUZA, DARRYL JOHN MR.PRINCIPAL OPERATIONS OFFICER/ FINOP6082948
ESANNASON, CARLO YVANCHIEF COMPLIANCE OFFICER4869110
FRANKLIN, JOHNCEO5719711

Disclosures

Regulatory Event6
Financial1

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

MERCURY CAPITAL ADVISORS, LLC

CRD#: 152338

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