De Nguyen is a registered investment advisor at Financial Northeastern Securities, LLC, based in Fairfield, NJ, with 21 years of industry experience. De operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Financial Northeastern Securities (FNS) is paid by the independent advisor or client for whom it solicits or performs services, including sub-advisory services, based on a percentage of the client's managed assets. This generally ranges from 0.3% to 3.0%. FNS may also collect commissions, ticket charges, selling concessions, and 12B-1 fees from mutual funds for brokerage services rendered.
Location
100 Passaic Avenue, Fairfield, NJ, 07004
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Financial Northeastern Securities, LLC
Financial Northeastern Securities, INC.Broker
Previous Registrations
Barclays Capital INC.Broker
Lehman Brothers INC.
Lehman Brothers INC.Broker
State Registrations31 states
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