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Detailed Report
My To Dinh
MY PHONG NHA TO, MY PHUONG NHA TO
CRD#: 5402254
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 18575 Jamboree Rd
Ste 400
IRVINE, CA 92612
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2013 (4 years)2 FIRMS2013 - Present (11 years)
License(s)

State Registrations

B
California 9/13/2013
B
Connecticut 1/18/2017
IA
California 9/13/2013
B
Idaho 1/5/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
18575 Jamboree Rd Ste 400, IRVINE, CA 92612
Registered with this firm since 9/13/2013
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
18575 Jamboree Rd Ste 400, IRVINE, CA 92612
Registered with this firm since 9/13/2013
Previous Registration(s)
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IA
 09/11/2008 - 07/17/2013 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) LOS ANGELES, CA
B
 08/01/2008 - 07/17/2013 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) LOS ANGELES, CA
IA
 10/25/2007 - 01/18/2008 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) LOS ANGELES, CA
B
 10/01/2007 - 01/18/2008 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.