Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Le-thuy? Claim Your ProfileLe-thuy Cao Nguyen is an investment advisor representative who has been in the industry since 1996. Le-thuy is currently registered with UBS Financial Services Inc. and has been with the firm since March 2011. Le-thuy previously worked at CHARLES SCHWAB & CO., INC. and FIDELITY BROKERAGE SERVICES, INC.. Le-thuy has a wide range of experience and expertise in the financial services industry, and is committed to providing her clients with the highest level of service and support. Le-thuy holds Series 7, 9, 10, and 63 licenses. She is also a Certified Financial Planner.
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.
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.
See schedule d - miscellaneous
1
2
TX
03/31/2011 - Present
UBS Financial Services Inc. (FT. WORTH TX)
TX
03/16/1998 - 04/25/2011
CHARLES SCHWAB & CO., INC. (SOUTHLAKE TX)
RI
11/05/1997 - 04/06/1998
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
RI
11/13/1996 - 11/05/1997
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
02/07/1994 - 12/09/1994
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BC
Issued 02/16/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/04/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/14/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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