Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Ngoc Duong is a registered investment advisor with Wells Fargo Clearing Services, LLC. Cindy has been in the financial services industry since 2007 and is registered with the state of Arizona and California. Cindy has a variety of industry licenses and experience in investment management, financial planning, and portfolio management. Cindy is also a registered representative of Stifel, Nicolaus & Company, Incorporated and Wells Fargo Advisors, LLC. Cindy has a special focus on high-net-worth individuals, charitable organizations, corporations and other businesses, pension and profit-sharing plans, and individuals other than high-net-worth.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
11/25/2015 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
CA
09/08/2015 - 11/12/2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SAN DIEGO CA)
CA
02/12/2010 - 11/18/2014
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
CA
11/08/2006 - 02/16/2010
WELLS FARGO INVESTMENTS, LLC (SAN DIEGO CA)
BOTH
Issued 02/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/15/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/25/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 11/07/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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