Individual Firm
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Thanh Nguyen
THANH Q NGUYEN, THANH QUOC NGUYEN, TOM QUOC NGUYEN
CRD#: 5602850
IA
B
J.P. MORGAN SECURITIES LLCCRD#: 79 5 SOUTHGATE AVENUE
DALY CITY, CA 94015
DALY CITY, CA 94015
0
Disclosures
14
Years of Experience
View By:
State Registrations
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California 4/27/2015
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New Jersey 6/7/2022
IA
California 4/27/2015
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New York 5/9/2019
B
Colorado 2/5/2019
B
Oregon 6/7/2022
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Indiana 6/7/2022
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Pennsylvania 3/13/2019
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Michigan 8/7/2023
B
Virginia 10/4/2017
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Nevada 6/7/2022
SRO Registrations
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IA
Registered with this firm since 4/27/2015
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Registered with this firm since 4/27/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/14/2014 - 04/02/2015 | DALY CITY, CA | |
B | 01/14/2014 - 04/02/2015 | DALY CITY, CA | |
IA | 02/28/2013 - 01/09/2014 | SAN FRANCISCO, CA | |
B | 02/28/2013 - 01/09/2014 | SAN FRANCISCO, CA | |
IA | 01/03/2011 - 08/10/2011 | SAN FRANCISCO, CA | |
B | 01/03/2011 - 08/10/2011 | SAN FRANCISCO, CA | |
IA | 12/03/2008 - 01/03/2011 | SAN FRANCISCO, CA | |
B | 11/13/2008 - 01/03/2011 | SAN FRANCISCO, CA |
DALY CITY, CA
01/14/2014 - 04/02/2015
DALY CITY, CA
01/14/2014 - 04/02/2015
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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.
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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.