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Chuong Dinh Nguyen

Loop Capital Markets LLC

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About Chuong Dinh Nguyen

Chuong Nguyen is a registered representative with Loop Capital Markets LLC. Chuong has been in the financial services industry for nearly twenty years. Previously Chuong worked as a registered representative with Raymond James & Associates, Inc. and Wedbush Securities Inc. Chuong is registered to sell securities in California.

Firm Information

Chuong Nguyen is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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transition management services/equity research services

Transition management services/equity research services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Chuong Nguyen’s Registration & Firm History

CA

09/29/2020 - Present

Loop Capital Markets LLC (SAN FRANCISCO CA)

CA

01/02/2013 - 10/02/2020

RAYMOND JAMES & ASSOCIATES, INC. (SAN FRANCISCO CA)

CA

12/22/2011 - 01/02/2013

MORGAN KEEGAN & COMPANY, INC. (SAN FRANCISCO CA)

CA

09/16/2008 - 10/24/2011

WEDBUSH SECURITIES INC. (SAN FRANCISCO CA)

CA

12/20/2003 - 09/10/2008

GEORGE K. BAUM & COMPANY (SACRAMENTO CA)

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Licenses & Designations

BC

Issued 03/24/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/18/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Chuong Dinh Nguyen.
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