Kathy D. Nguyen
Professional summary
Kathy Dan Thanh Nguyen, who also goes by Kathy Nguye, is a registered financial professional currently at DEALERWEB LLC located in Jersey City, New Jersey.
Kathy is registered as a RR (Registered Representative) and started their career in finance in 2022. Kathy has worked at 1 firm and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathy Dan Thanh Nguyen's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2022 - Present
DEALERWEB LLC
Office #1: 185 Hudson Street Harborside 5, Suite 2200, Jersey City, NJ 07311State 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 99TO
Date: 8/16/2022
Operations Professional ExaminationFINRA
Current Firm
DEALERWEB LLC
CRD#: 19662 / SEC#: , 8-38103
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEWEB IDB MARKETS, INC. | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| COTTER, RICHARD JOSEPH JR | PRINCIPAL FINANCIAL OFFICER | 1611037 |
| GALINDO, JORGE ALBERTO JR | PRINCIPAL OPERATIONS OFFICER | 2501261 |
| HUESTIS, TIMOTHY DANIEL | EXECUTIVE REPRESENTATIVE | 4931620 |
| MCKEON, ALFRED PETER | PRESIDENT | 1666355 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| SULLIVAN, MICHAEL FRANCIS | CHIEF COMPLIANCE OFFICER | 3254037 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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