Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Nguyen is a registered representative with Mufg Securities Americas Inc. in Los Angeles, California. Katherine has been in the industry since 2022 and has passed the Series 63, Series 79TO and SIE exams. Katherine is registered with the state of California.
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.
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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CA
07/18/2022 - Present
Mufg Securities Americas Inc. (Los Angeles CA)
BC
Issued 07/08/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/18/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 07/02/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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