Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Duc? Claim Your ProfileDuc Vu Nguyen is an investment advisor representative with CIBC Private Wealth Advisors, Inc. Duc has been in the financial services industry for over 20 years. Duc has a Series 65 license and is registered in California. Duc's experience includes working with high-net-worth individuals, corporations, and other businesses. Duc specializes in financial planning, portfolio management, and selection of other advisers. Duc previously held positions at Carillon Fund Distributors, Inc., Franklin/Templeton Distributors, Inc., Countrywide Investment Services, Inc., CitiCorp Investment Services, WM Financial Services, Inc., Prudential Securities Incorporated, and Pruco Securities Corporation.
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.
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.
Strategic management for diversified investment portfolios.
Index provider
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
11/21/2023 - Present
Cibc Private Wealth Advisors, Inc. (San Francisco CA)
FL
06/16/2010 - 10/19/2023
CARILLON FUND DISTRIBUTORS, INC. (ST. PETERSBURG FL)
CA
11/10/2005 - 05/24/2010
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (RANCHO CORDOVA CA)
AZ
11/04/2004 - 10/14/2005
COUNTRYWIDE INVESTMENT SERVICES, INC. (CHANDLER AZ)
NY
07/22/2003 - 10/27/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
02/19/2002 - 12/18/2002
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NY
02/21/2001 - 05/07/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
11/29/2000 - 03/27/2001
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 12/21/2023
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/13/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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