Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tony? Claim Your ProfileTony Quang Nguyen is a financial advisor with over 20 years of experience in the industry. Tony is currently registered with Seia and has held previous positions at OSAIC WEALTH, INC., SIGNATOR INVESTORS, INC., CITY NATIONAL SECURITIES, INC., WEDBUSH SECURITIES INC., BANC OF AMERICA SECURITIES LLC, BANC OF AMERICA INVESTMENT SERVICES, INC., and WELLS FARGO INVESTMENTS, LLC. Tony specializes in providing financial planning, portfolio management for individuals and businesses, and educational seminars.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
01/06/2015 - Present
Seia (LOS ANGELES CA)
CA
11/02/2018 - 08/23/2023
OSAIC WEALTH, INC. (LOS ANGELES CA)
CA
11/17/2014 - 11/02/2018
SIGNATOR INVESTORS, INC. (LOS ANGELES CA)
CA
10/17/2013 - 09/29/2014
CITY NATIONAL SECURITIES, INC. (LOS ANGELES CA)
CA
03/10/2008 - 10/15/2013
WEDBUSH SECURITIES INC. (LOS ANGELES CA)
CA
11/16/2005 - 03/05/2008
BANC OF AMERICA SECURITIES LLC (LOS ANGELES CA)
MA
04/15/2004 - 11/16/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
02/21/2003 - 04/19/2004
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
BOTH
Issued 03/03/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/08/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/03/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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