Anh H. 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.
Anh Hai Nguyen, who also goes by Hai Anh Nguyen, Anh Hai Nguyen, Anhhai Nguyen, Hayden Nguyen, was a registered financial professional .
Anh is a previously registered financial professional and started their career in finance in 2020. Anh had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2021 - June 12, 2023
NED DAVIS RESEARCH, INC.
January 28, 2021 - February 11, 2021
EQUITABLE ADVISORS, LLC
November 19, 2020 - February 11, 2021
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
NED DAVIS RESEARCH, INC.
CRD#: 112260 / SEC#: 801-60241
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/19/2020
General Securities Representative ExaminationCurrent Firm
NED DAVIS RESEARCH, INC.
CRD#: 112260 / SEC#: 801-60241
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 248,514 |
Red Flags
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