David Nguyen
Professional summary
David Nguyen is a registered financial professional currently at MILLENNIUM ADVISORS, LLC located in Charlotte, North Carolina.
David is registered as a RR (Registered Representative) and started their career in finance in 2021. David has worked at 1 firm and has passed the Series 63, Series 52TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Nguyen's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2021 - Present
MILLENNIUM ADVISORS, LLC
Office #1: 11605 N Community House Dr Suite 550, Charlotte, NC 28277State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/17/2021)
Exams
Series 52TO
Date: 9/3/2021
Municipal Securities Representative ExaminationSeries 7TO
Date: 8/7/2021
General Securities Representative ExaminationFINRA
Current Firm
MILLENNIUM ADVISORS, LLC
CRD#: 151236 / SEC#: , 8-68349
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MILLENNIUM CONSOLIDATED HOLDINGS LLC | OWNER | |
| BROWN, DOUGLAS BENEDICT | CCO, AML SUPERVISOR | 5063686 |
| CHAPPELLE, DAVID WALTER | MEMBER, GENERAL PRINCIPAL | |
| DEMODNA, JOSEPH CHARLES | PRINCIPAL OPERATIONS OFFICER | 5156407 |
| HEALY, MICHAEL GEORGE | CHIEF EXECUTIVE OFFICER | 3011582 |
| LEE, CHRISTY ROSS | CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 4926666 |
Disclosures
| Regulatory Event | 1 |
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