Individual Firm
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TAI TAN NGUYEN
Tai Nguyen
CRD#: 5462324
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 11757 Katy Fwy
Ste. 990
Houston, TX 77079
Ste. 990
Houston, TX 77079
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10/18/1996
Criminal
Final Disposition
3/8/1995
Criminal
Final Disposition
10/25/1994
Criminal
Final Disposition
State Registrations
B
California 5/24/2023
B
Maryland 7/28/2023
B
District of Columbia 3/25/2022
B
Missouri 12/26/2023
B
Louisiana 8/5/2020
B
Texas 8/3/2020
IA
Louisiana 8/5/2020
IA
Texas 8/3/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/3/2020
B
Registered with this firm since 8/3/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/03/2015 - 07/17/2020 | PENSACOLA, FL | |
B | 03/11/2014 - 07/17/2020 | PENSACOLA, FL | |
IA | 12/23/2008 - 12/20/2013 | DALLAS, TX | |
B | 04/09/2008 - 12/20/2013 | DALLAS, TX |
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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.