Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Duy? Claim Your ProfileDuy Le Nguyen is a financial advisor with over 20 years of experience in the industry. Duy Nguyen is currently registered with Morgan Stanley and has been with the firm since June 2009. Prior to joining Morgan Stanley, Duy Nguyen was with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Duy Nguyen provides a variety of financial services to individual clients, including financial planning, portfolio management, and investment advisory services. Duy Nguyen holds a number of industry licenses and certifications, including Series 3, 7, 9, 10, 31, and 66. Duy Nguyen is also a Registered Representative of FINRA.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NC
04/23/2020 - Present
Morgan Stanley (Raleigh NC)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WALNUT CREEK CA)
VA
04/02/2002 - 04/02/2007
MORGAN STANLEY DW INC. (VIENNA VA)
BOTH
Issued 11/20/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/07/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/11/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2011
Series 3 - National Commodity Futures Examination
BC
Issued 03/12/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/01/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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