Quy Nguyen is a registered investment advisor, based in Auburn, WA, with 9 years of industry experience.
Location
Auburn, WA
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Regulatory History
Clean regulatory record
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.
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Quy works as a Transition Specialist for The Ameriflex Group, assisting advisors in moving to their RIA/Broker-Dealer. This activity is investment-related and takes nearly full-time hours.
Employment History
Current Registrations
Cambridge Investment Research, INC.
June 2025 - Present · 11 mos
Cambridge Investment Research, INC.Broker
June 2025 - Present · 11 mos
The Ameriflex Group
April 2024 - Present · 2 yrs 1 mo
Previous Registrations
Osaic Wealth, INC.Broker
April 2024 - July 2025 · 1 yr 3 mos
Osaic Wealth, INC.
September 2023 - April 2024 · 7 mos
Osaic Wealth, INC.Broker
September 2023 - April 2024 · 7 mos
Sagepoint Financial, INC.
August 2020 - September 2023 · 3 yrs 1 mo
Sagepoint Financial, INC.Broker
August 2020 - September 2023 · 3 yrs 1 mo
Kms Financial Services, INC
June 2019 - September 2020 · 1 yr 3 mos
Kms Financial Services, INC.Broker
April 2018 - September 2020 · 2 yrs 5 mos
Key Investment Services LLCBroker
August 2017 - February 2018 · 6 mos
Capital One Investing, LLCBroker
April 2016 - November 2016 · 7 mos
State Registrations2 states
NVWA
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.