Phuong-dung P. 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.
Phuong-dung Phuoc Nguyen, who also goes by Zunie Nguyen, was a registered financial professional .
Phuong-dung is a previously registered financial professional and started their career in finance in 2019. Phuong-dung had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2022 - March 13, 2025
HAMILTON-BATES INVESTMENT RESEARCH, INC.
May 13, 2019 - March 4, 2020
CAERUS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Current Firm
HAMILTON-BATES INVESTMENT RESEARCH, INC.
CRD#: 114127 / SEC#: 801-60463
Contact information
Regulatory assets under management
| Total Number of Accounts | 360 |
| AUM (Assets Under Management) | $ 55,537,100 |
Red Flags
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