Duc Nguyen is a registered investment advisor, based in San Francisco, CA, with 24 years of industry experience. Duc is also registered as a broker, so some compensation may come from commissions on products sold.
Location
101 Second Avenue, Suite 2500, San Francisco, CA, 94105
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Regulatory History (1)
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Regulatory
September 2001Final
Employment History
Current Registrations
Cibc World Markets CORP.
January 2024 - Present · 2 yrs 9 mos
Cibc World Markets CORP.Broker
January 2024 - Present · 2 yrs 9 mos
Cibc Private Wealth Advisors, INC.
November 2023 - Present · 2 yrs 11 mos
Previous Registrations
Carillon Fund Distributors, INC.Broker
June 2010 - October 2023 · 13 yrs 4 mos
Franklin/templeton Distributors, INC.Broker
November 2005 - May 2010 · 4 yrs 6 mos
Countrywide Investment Services, INC.Broker
November 2004 - October 2005 · 11 mos
Citicorp Investment ServicesBroker
July 2003 - October 2004 · 1 yr 3 mos
Wm Financial Services, INC.Broker
February 2002 - December 2002 · 10 mos
Prudential Securities IncorporatedBroker
February 2001 - May 2001 · 3 mos
Pruco Securities CorporationBroker
November 2000 - March 2001 · 4 mos
State Registrations1 state
CA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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