Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tuan? Claim Your ProfileTuan Ngo has been working in the financial industry since December 3, 2000. Currently, Tuan is registered as a broker with Cetera Advisors LLC. Tuan previously worked at ARES MANAGEMENT CAPITAL MARKETS LLC, Westpark Capital, Inc., VFG Securities, Inc., NIAGARA INTERNATIONAL CAPITAL LIMITED, PERSHING LLC, FINANCIAL NETWORK INVESTMENT CORPORATION, ING FINANCIAL PARTNERS, INC., MULTI-FINANCIAL SECURITIES CORPORATION, ROBERTS & RYAN INVESTMENTS INC., SALOMON SMITH BARNEY INC., U.S. RICA FINANCIAL, INC., KDN SECURITIES, INC., H.D. VEST INVESTMENT SECURITIES, INC., and FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.. Tuan holds Series 6, 7, 9, 10, 14, 24, 52TO, 53, 55, 57TO, 63, 65, 82TO, 99TO, and SIE licenses. Tuan is licensed in all 50 states and the District of Columbia.
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.
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2
CO
05/19/2023 - Present
Cetera Advisors LLC (GREENWOOD VILLAGE CO)
CA
04/04/2019 - 04/05/2023
ARES MANAGEMENT CAPITAL MARKETS LLC (LOS ANGELES CA)
CA
10/13/2017 - 04/03/2019
WESTPARK CAPITAL, INC. (LOS ANGELES CA)
CA
07/19/2010 - 11/20/2017
VFG SECURITIES, INC. (CULVER CITY CA)
CA
03/28/2017 - 06/14/2017
NIAGARA INTERNATIONAL CAPITAL LIMITED (Culver City CA)
CA
01/31/2008 - 11/20/2008
PERSHING LLC (LOS ANGELES CA)
CA
12/21/2005 - 11/29/2007
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
CA
12/21/2005 - 11/29/2007
ING FINANCIAL PARTNERS, INC. (EL SEGUNDO CA)
CA
12/21/2005 - 11/29/2007
MULTI-FINANCIAL SECURITIES CORPORATION (EL SEGUNDO CA)
NY
10/06/2002 - 11/23/2005
ROBERTS & RYAN INVESTMENTS INC. (NEW YORK NY)
NY
11/03/2000 - 05/10/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
CA
08/15/2000 - 10/18/2000
U.S. RICA FINANCIAL, INC. (SAN JOSE CA)
TX
05/10/2000 - 08/07/2000
KDN SECURITIES, INC. (DALLAS TX)
TX
02/13/1998 - 05/26/2000
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
RI
11/07/1996 - 07/11/1997
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
IA
Issued 03/05/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/31/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 02/05/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/20/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/01/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/02/1998
Series 4 - Registered Options Principal Examination
BC
Issued 04/20/1998
Series 24 - General Securities Principal Examination
BC
Issued 05/19/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/23/1998
Series 7 - General Securities Representative Examination
BC
Issued 11/05/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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