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Thuong Tomy Nguyen

Alps Distributors, Inc.

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About Thuong Tomy Nguyen

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.

Firm Information

Thuong Nguyen is currently registered with Alps Distributors, Inc.. Alps Distributors, Inc. is a Corporation that was formed on July 1, 1985. It is registered in 53 states and is also approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

169

Total Financial Advisors

Services Offered

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.

Fee Structure

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Thuong Nguyen’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thuong Tomy Nguyen.
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