Individual Firm
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ANH THICAM NGUYEN
CRD#: 3097996
IA
B
PRINCIPAL SECURITIES, INC.CRD#: 1137 575 ANTON BLVD STE 900
COSTA MESA, CA 92626
COSTA MESA, CA 92626
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
Arizona 3/5/2014
B
Nevada 2/16/2023
B
Arkansas 2/16/2023
B
New Hampshire 4/10/2018
B
California 7/29/2010
B
New Jersey 11/24/2014
IA
California 8/3/2010
B
New Mexico 9/7/2010
B
Colorado 1/8/2025
B
New York 9/7/2010
B
Florida 1/19/2020
B
North Carolina 10/15/2013
B
Georgia 3/7/2014
B
Ohio 10/24/2024
B
Hawaii 7/10/2018
B
Texas 9/7/2010
B
Idaho 3/2/2021
IA
Texas 6/15/2021
B
Illinois 1/11/2016
B
Utah 10/19/2022
B
Maryland 1/18/2018
B
Washington 2/16/2023
B
Massachusetts 1/11/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 8/3/2010
B
Registered with this firm since 7/29/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/19/1998 - 07/29/2010 | IRVINE, CA | |
B | 09/08/1998 - 07/29/2010 | IRVINE, CA | |
B | 09/08/1998 - 07/03/2006 | MINNEAPOLIS, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.