Minh Tri 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.
Minh Tri Duong Nguyen, who also goes by Minh Duong Nguyen, Minh-tri D Nguyen, Minh-tri Duong Nguyen, Tri Duong Nguyen, Minh Tri, Minh D Nguyen, Tri D Nguyen, was a registered financial professional .
Minh Tri is a previously registered financial professional and started their career in finance in 2016. Minh Tri had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2018 - March 4, 2019
TD AMERITRADE, INC.
July 14, 2017 - March 2, 2018
EQUITABLE ADVISORS, LLC
July 14, 2017 - March 2, 2018
EQUITABLE ADVISORS, LLC
July 14, 2016 - September 19, 2016
MML INVESTORS SERVICES, LLC
April 21, 2016 - September 19, 2016
MML INVESTORS 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
