Andrew D. Nguyen
Professional summary
Andrew D Nguyen is a registered financial professional currently at PPHB SECURITIES LP located in Houston, Texas.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2017. Andrew has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew D Nguyen's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 15, 2017 - Present
PPHB SECURITIES LP
Office #1: 1885 St. James Place Suite 900, Houston, TX 77056State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/22/2017)
Exams
FINRA
Current Firm
PPHB SECURITIES LP
CRD#: 132074 / SEC#: , 8-66550
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN, RAYMOND LLOYD JR. | LIMITED PARTNER/REGISTERED PRINCIPAL | 4144874 |
| BUCHANAN, JOE BLAKE | LIMITED PARTNER/REGISTERED PRINCIPAL | 5095659 |
| HOEPFL, JOSEPH ALLEN | CHIEF COMPLIANCE OFFICER/LIMITED PARTNER/REGISTERED PRINCIPAL | 2950986 |
| PARKS PATON HOEPFL & BROWN, LLC | GENERAL PARTNER | |
| SCHAPS, MICHAEL ROBERT | FINOP/CFO/PFO/POO | 1892138 |
Red Flags
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