Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Huy? Claim Your ProfileHuy Quoc Nguyen is a financial advisor with LPL Financial LLC. Huy Nguyen has been working in the financial industry since March 2007. Huy Quoc Nguyen has held previous roles at Cetera Advisor Networks LLC, Girard Securities, Inc. and First Allied Securities, Inc. Huy Nguyen is a Registered Representative and Investment Advisor Representative and is licensed in 54 states.
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.
Consulting and other non-discretionary advisory services
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.
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CA
12/22/2017 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
10/27/2017 - 12/07/2017
CETERA ADVISOR NETWORKS LLC (SAN DIEGO CA)
CA
10/02/2013 - 11/01/2017
GIRARD SECURITIES, INC. (SAN DIEGO CA)
CA
03/11/2011 - 10/04/2013
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
03/12/2007 - 03/15/2011
LPL FINANCIAL LLC (SAN DIEGO CA)
BOTH
Issued 06/04/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/12/2009
Series 27 - Financial and Operations Principal Examination
BC
Issued 09/07/2007
Series 4 - Registered Options Principal Examination
BC
Issued 07/17/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/09/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/03/2008
Series 3 - National Commodity Futures Examination
BC
Issued 05/06/2008
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 04/21/2008
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 03/09/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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