Mai Ngoc Nguyen
Professional Summary
Mai Ngoc Nguyen, who also goes by Mai Nguyen Bui, Mai Nguyen, Michelle Nguyen, was a registered financial advisor. Mai was a previously registered financial professional and started their career in finance 1985 - 2002. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mai Nguyen Bui, Mai Nguyen, Michelle Nguyen
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
SCHONFELD SECURITIES INC. | SCHONFELD SECURITIES, LLC
Contact Information
Established
New York since 11/21/1995Firm Type
Limited Liability CompanyFiscal Year End
MarchDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
19Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2001Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1985About the Series 6 examSeries 1 — Registered Representative Examination
Passed Jul 1979Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2000About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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