Duc Tuan 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.
Duc Tuan Nguyen, who also goes by Tuan Nguyen, Tyson Nguyen, was a registered financial professional .
Duc Tuan is a previously registered financial professional and started their career in finance in 2017. Duc Tuan had worked at 1 firm and has passed the Series 11 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2017 - June 25, 2018
SOLIUM FINANCIAL 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
Series 11
Date: 11/9/2017
Assistant Representative-Order Processing Qualification ExamCurrent Firm
SOLIUM FINANCIAL SERVICES LLC
CRD#: 147933 / SEC#: , 8-67942
Contact information
Documents
Disclosures
| Regulatory Event | 46 |
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.
