Phuoc D. Nguyen
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.
Phuoc Duc Nguyen, who also goes by Phuoc Nguyen, was a registered financial professional .
Phuoc is a previously registered financial professional and started their career in finance in 2016. Phuoc had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2022 - January 5, 2023
CODA MARKETS, INC.
July 20, 2022 - January 18, 2023
APEX CLEARING CORPORATION
August 25, 2016 - July 6, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 25, 2016 - July 6, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 31, 2016 - August 11, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 23, 2016 - August 11, 2016
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CODA MARKETS, INC.
CRD#: 36187 / SEC#: , 8-47077
Contact information
FINRA licenses (5 States and Territories)
Documents
Disclosures
| Regulatory Event | 15 |
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.
