Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nina nga? Claim Your ProfileNina Thi Vu is a registered representative with Charles Schwab & CO., Inc. and is a financial professional with over 20 years of experience in the industry. Nina has worked for various firms, including Guaranty Brokerage Services, Inc., MML Investors Services, Inc., and American Express Financial Advisors Inc. Nina is currently registered to provide investment advice in Texas. Nina’s current registrations include Series 7, Series 9, Series 10, and Series 66. Nina also holds the Securities Industry Essentials Examination (SIE).
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
IN
01/04/2019 - Present
Charles Schwab & CO., Inc. (Indianapolis IN)
TX
01/16/2004 - 04/13/2007
CHARLES SCHWAB & CO., INC. (DALLAS TX)
MN
02/25/2003 - 12/31/2003
GUARANTY BROKERAGE SERVICES, INC. (ST. CLOUD MN)
MA
04/10/2002 - 12/10/2002
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
MN
09/06/2001 - 10/18/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/06/2001 - 10/18/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 09/19/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/14/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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