Thuong T. Nguyen
Professional summary
Thuong Tomy Nguyen, who also goes by Thuong Tomy Nguyen, Tom Nguyen, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.
Thuong is registered as a RR (Registered Representative) and started their career in finance in 2015. Thuong has worked at 4 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thuong Tomy Nguyen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2024 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 535 Madison Avenue 37th Floor, New York, NY 10022January 5, 2022 - September 9, 2024
FORESIDE FUND SERVICES, LLC
November 28, 2017 - December 1, 2021
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 17, 2015 - February 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
(9/9/2024)
Exams
FINRA
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
