Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tony? Claim Your ProfileTony Nguy is a financial advisor currently registered with Citigroup Global Markets Inc. Tony has been in the financial services industry since July 13, 1999. Tony has a wide range of experience, having previously worked at Wells Fargo Advisors, LLC, Banc of America Investment Services, Inc., WM Financial Services, Inc. and Wells Fargo Securities Inc.. Tony holds several licenses, including Series 63, Series 65 and Series 7. Tony is also registered to provide investment advice in multiple states. Tony's specializations include Portfolio Management for Individuals and Businesses, Asset Allocation, Security Ratings and Financial Planning.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
1
2
CA
01/06/2014 - Present
Citigroup Global Markets Inc. (Foster City CA)
CA
12/15/2008 - 01/07/2014
WELLS FARGO ADVISORS, LLC (BELMONT CA)
CA
04/04/2001 - 12/16/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
CA
02/09/2000 - 04/02/2001
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
05/26/1999 - 12/22/1999
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
IA
Issued 08/31/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/10/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/1999
Series 7 - General Securities 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
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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