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Trang Thuy Nguyen

Advisors Asset Management, Inc.

Monument, CO

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Current Employers
Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2024-04-18
  • CO RA
    APPROVED
    Since 2024-04-18

Branch Locations

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ash Brokerage Fort Wayne IN 09/2008 07/2023
Mercap Securities, Llc Paoli PA 11/2014 12/2017
First Palladium, Llc Fort Wayne IN 04/2019 07/2023
Advisors Asset Management, Inc Monument CO 12/2023 Present
Unemployed Aurora CO 08/2023 11/2023
  • 09/2008 → 07/2023
    Ash Brokerage
    Fort Wayne, IN
  • 11/2014 → 12/2017
    Mercap Securities, Llc
    Paoli, PA
  • 04/2019 → 07/2023
    First Palladium, Llc
    Fort Wayne, IN
  • 12/2023 → Present
    Advisors Asset Management, Inc
    Monument, CO
  • 08/2023 → 11/2023
    Unemployed
    Aurora, CO
Other Businesses

Name: Ebay Address: 935 Salem St. Aurora CO 80011 Start: 1/1/2023 time: 30 mims a week. Selling items on Ebay. not securities investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-17
S63 Uniform Securities Agent State Law Examination 2007-09-21
  • S66 Uniform Combined State Law Examination
    2024-04-17
  • S63 Uniform Securities Agent State Law Examination
    2007-09-21

View on SEC IAPD

Other Firms

FINANCIAL ACTION, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MWA FINANCIAL SERVICES INC.
LPL FINANCIAL LLC
EDWARD JONES
WELLS FARGO CLEARING SERVICES, LLC
U.S. BANCORP ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

MEREDETH LIAN MCDOWELL IVERSEN
CHRISTOPHER BRIAN REED
JASON JOHN ROQUE
KERRY JOSEPH HILSABECK
BRANDON MICHAEL RIDENOUR
Ryan Patrick Sweeney
Matthew Robert Lang
Jason Neil Brashar

Other Offices

FINANCIAL ACTION, INC. · MONUMENT, CO
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Monument, CO
MWA FINANCIAL SERVICES INC. · Monument, CO
LPL FINANCIAL LLC · MONUMENT, CO
LPL FINANCIAL LLC · MONUMENT, CO
EDWARD JONES · MONUMENT, CO
WELLS FARGO CLEARING SERVICES, LLC · MONUMENT, CO
U.S. BANCORP ADVISORS, LLC · Colorado Springs, CO

More in Monument, CO

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