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SUN DINH
SUN QUANG DINH
CRD#: 4628619
IA
B
PNC INVESTMENTSCRD#: 129052 40780 CALIFORNIA OAKS ROAD
MURRIETA, CA 92562
MURRIETA, CA 92562
0
Disclosures
22
Years of Experience
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State Registrations
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Arizona 8/16/2021
IA
California 8/18/2021
B
California 8/16/2021
B
Texas 8/18/2021
SRO Registrations
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IA
Registered with this firm since 8/18/2021
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Registered with this firm since 8/16/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/24/2020 - 08/17/2021 | Sun City, CA | |
B | 01/23/2020 - 08/16/2021 | VISTA, CA | |
IA | 11/07/2016 - 01/02/2020 | Rancho Cucamonga, CA | |
B | 11/07/2016 - 01/02/2020 | Rancho Cucamonga, CA | |
IA | 04/15/2015 - 11/04/2016 | ANAHEIM, CA | |
B | 04/15/2015 - 11/04/2016 | ANAHEIM, CA | |
IA | 02/27/2013 - 04/09/2015 | TUSTIN, CA | |
B | 08/31/2004 - 04/09/2015 | TUSTIN, CA | |
B | 03/21/2003 - 09/01/2004 | SAN DIEGO, CA |
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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.