Unclaimed
Thuong Tomy Nguyen is a financial professional with over seven years of experience in the industry. Thuong Tomy Nguyen currently holds a registration with Alps Distributors, Inc. Thuong Tomy Nguyen has held previous registrations with FORESIDE FUND SERVICES, LLC, LINCOLN FINANCIAL DISTRIBUTORS, INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Thuong Tomy Nguyen is licensed in 52 states and the District of Columbia. Thuong Tomy Nguyen holds a Series 3, SIE, and Series 7 licenses. Thuong Tomy Nguyen is also licensed to conduct business in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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.
1
2
CO
09/09/2024 - Present
Alps Distributors, Inc. (DENVER CO)
NJ
01/05/2022 - 09/09/2024
FORESIDE FUND SERVICES, LLC (Newark NJ)
PA
11/28/2017 - 12/01/2021
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
NJ
12/17/2015 - 02/22/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
BC
Issued 02/26/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/21/2023
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Thuong Nguyen is the right advisor for you? Invested Better is here to help.