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Inactive

Tony Quang Nguyen

Seia

Los Angeles, CA

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Current Employers
Seia

2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-01-06
  • CA RA
    APPROVED
    Since 2015-01-06

Branch Locations

2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sii Losangeles CA 10/2014 11/2018
Seia Llc Los Angeles CA 09/2014 Present
Royal Alliance Associates, Inc. Los Angeles CA 11/2018 08/2023
Ses Inc. Los Angeles CA 08/2023 Present
  • 10/2014 → 11/2018
    Sii
    Losangeles, CA
  • 09/2014 → Present
    Seia Llc
    Los Angeles, CA
  • 11/2018 → 08/2023
    Royal Alliance Associates, Inc.
    Los Angeles, CA
  • 08/2023 → Present
    Ses Inc.
    Los Angeles, CA
Previous Registrations
  • 2013-10-17 → 2014-09-29
    Los Angeles, CA
  • 2004-04-15 → 2005-11-16
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
  • 2003-03-05 → 2004-04-19
    Wells Fargo Investments, Llc
    Newport Beach, CA
Other Businesses

1. SEIA POSITION: Senior Trader NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 09/29/2014 ADDRESS: 2121 AVENUE OF THE STARS, SUITE 1600, LOS ANGELES CA 90067, United States DESCRIPTION: RIA Service 2. RENTAL PROPERTY POSITION: Owner NATURE: Owner INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/17/2017 ADDRESS: 559 N. Las Casas Ave, Pacific Palisades CA 90272, United States DESCRIPTION: Owner

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-03-03
  • S66 Uniform Combined State Law Examination
    2003-03-03

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