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XN

Xander T. Nguyen

PMA SECURITIES
Albertville, MN 55301
Some features on this profile are disabled
CRD#: 7840979
XN

Professional summary

Xander Trang Nguyen, who also goes by Xander T Nguyen, is a registered financial professional currently at PMA SECURITIES, LLC located in Albertville, Minnesota.

Xander is registered as a RR (Registered Representative) and started their career in finance in 2024. Xander has worked at 1 firm and has passed the Series 63, Series 50, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Xander T Nguyen

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Xander Trang Nguyen's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 8, 2024 - Present

PMA SECURITIES, LLC

Office #1: 5298 Kyler Ave. Ne 2nd Floor, Albertville, MN 55301
BD
CRD#: 30397
Albertville, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(6/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/20/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 50
Date: 12/3/2024
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/8/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/14/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PMA SECURITIES, LLC
ENGLISH CONCEPTS, INC. | PMA SECURITIES, LLC | PMA SECURITIES, INC.

CRD#: 30397 / SEC#: , 8-44905

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
2135 Citygate Lane 7th Floor, Naperville, IL 60563
Mailing Address
2135 Citygate Lane 7th Floor, Naperville, IL 60563
Phone number
(630) 657-6400
Established
Illinois since 03/26/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PMA ACQUISITION, LLCMEMBER
DAVIS, JAMES O'NEILLCHIEF EXECUTIVE OFFICER2660454
MARTENS, JONATHAN RAYFINANCIAL AND OPERATIONS PRINCIPAL4593466
RAGUS, LORI ANNGENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/SECRETARY5754738

Red Flags

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.

Company Information

PMA SECURITIES, LLC

CRD#: 30397Albertville, MN 55301

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