Mai N. 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.
Mai Ngoc Nguyen, who also goes by Mai Nguyen Bui, Mai Nguyen, Michelle Nguyen, was a registered financial professional .
Mai is a previously registered financial professional and started their career in finance in 1985. Mai had worked at 6 firms and has passed the Series 66, Series 55, Series 3, Series 7, Series 6, Series 1, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2001 - April 11, 2002
SCHONFELD SECURITIES, LLC
March 9, 2001 - April 3, 2001
DALTON KENT SECURITIES GROUP, INC.
February 11, 2000 - March 20, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 4, 1998 - February 24, 2000
CITIGROUP GLOBAL MARKETS INC.
December 10, 1997 - May 1, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 1985 - June 27, 1989
PFS INVESTMENTS INC.
State 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 55
Date: 3/29/2001
Limited Representative-Equity Trader ExamSeries 1
Date: 7/2/1979
Registered Representative ExaminationCurrent Firm
SCHONFELD SECURITIES, LLC
CRD#: 23304 / SEC#: , 8-40148
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 1 |
Red Flags
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