Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sinh? Claim Your ProfileSinh Thu Ly is a financial professional with over 20 years of experience in the financial services industry. Sinh is currently registered with Northwestern Mutual Investment Services, LLC, and has a strong background in investment banking, financial operations, and compliance. Sinh holds Series 6, 7, 24, 28, 62, 63, 79TO, 99TO, and SIE licenses, and is also a Principal for both Series 14 and Series 28. Prior to joining Northwestern Mutual Investment Services, LLC, Sinh was employed by COLORADO FINANCIAL SERVICE CORPORATION, CIM SECURITIES, LLC, and TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. Sinh is committed to providing clients with personalized financial advice and guidance.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
WI
09/07/2022 - Present
Northwestern Mutual Investment Services, LLC (Milwaukee WI)
CO
02/01/2019 - 05/12/2022
COLORADO FINANCIAL SERVICE CORPORATION (CENTENNIAL CO)
CO
06/14/2005 - 02/24/2019
CIM SECURITIES, LLC (CENTENNIAL CO)
NY
10/15/1998 - 01/17/2003
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. (NEW YORK NY)
BC
Issued 11/19/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 12/11/2007
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 05/21/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2005
Series 7 - General Securities Representative Examination
BC
Issued 10/14/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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