Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicki? Claim Your ProfileNicki Nguyen is an experienced financial advisor, holding registrations with both FINRA and the State of Texas. Nicki has been in the industry since 2007 and has worked with a number of firms including Merrill Lynch, Citigroup Global Markets Inc. and J.P. Morgan Securities LLC. Nicki is currently registered with J.P. Morgan Securities LLC, a firm with more than $50 billion in assets under management and a focus on providing a comprehensive range of investment and financial planning services to a wide range of clients, including individuals, corporations, charitable organizations, and pension funds. Nicki specializes in portfolio management for both businesses and individuals.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
02/10/2023 - Present
J.p. Morgan Securities LLC (Houston TX)
TX
11/27/2013 - 04/21/2021
J.P. MORGAN SECURITIES LLC (Houston TX)
TX
04/09/2008 - 07/09/2012
CITIGROUP GLOBAL MARKETS INC. (SAN ANTONIO TX)
TX
05/31/2007 - 12/04/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SUGARLAND TX)
TX
03/16/2007 - 04/02/2007
METLIFE SECURITIES INC. (HOUSTON TX)
TX
03/16/2007 - 04/02/2007
METROPOLITAN LIFE INSURANCE COMPANY (HOUSTON TX)
TX
01/22/2007 - 03/08/2007
AMERIPRISE FINANCIAL SERVICES, INC. (HOUSTON TX)
IA
Issued 07/17/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/18/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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