Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thuy? Claim Your ProfileThuy Nguyen is a financial advisor currently working for J.P. Morgan Securities LLC. Thuy has been in the industry since November 2010 and has registered with FINRA and is licensed with 55 states, as well as Puerto Rico and the Virgin Islands. Thuy's main focus is working with high net worth individuals, corporations and pension and profit-sharing plans.
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
CA
05/14/2021 - Present
J.p. Morgan Securities LLC (Modesto CA)
CA
10/14/2014 - 04/15/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SACRAMENTO CA)
CA
10/01/2012 - 11/20/2013
J.P. MORGAN SECURITIES LLC (CARMEL CA)
CA
12/10/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (GREENFIELD CA)
BOTH
Issued 03/01/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/23/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/25/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2011
Series 7 - General Securities Representative Examination
BC
Issued 12/09/2009
Series 6 - Investment Company Products/Variable Contracts 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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