Sang Tuan Nguyen
Professional Summary
This is a previously registered financial professional. Based in Los Angeles, Sang Tuan Nguyen is affiliated with ROBERTS & RYAN, INC., where he has been registered since August 24, 2020. He holds credentials to sell general securities and municipal bonds and has passed principal-level exams for options and municipal securities. He also completed the industry basics exam. Many clients seek Sang for help evaluating municipal bond investments or for guidance when options are involved. He...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
6 years in the financial services industry
Current & Past Employments
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Current Firm
ROBERTS & RYAN INVESTMENTS INC. | ROBERTS SECURITIES, INC. | ROBERTS & RYAN, INC.
Contact Information
Main Address
39 Broadway Ste 1640, New York, NY 10006Mailing Address
39 Broadway Ste 610, New York, NY 10006-3003Phone Number
(866) 884-9959Established
Delaware since 02/01/2023Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (32 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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State Registrations and Notice Filings
(10/19/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jul 2021About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sang Tuan Nguyen's CRS (Customer Relationship Summary).
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