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Huy Quoc Nguyen

LPl Financial LLC

San Diego, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-12-22
  • CA RA
    APPROVED
    Since 2017-12-22

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Girard Securities, Inc. San Diego CA 10/2013 12/2017
Cetera Advisor Networks Llc El Segundo CA 10/2017 12/2017
Cetera Advisor Networks Llc San Diego CA 11/2017 12/2017
Lpl Financial Llc San Diego CA 12/2017 Present
  • 10/2013 → 12/2017
    Girard Securities, Inc.
    San Diego, CA
  • 10/2017 → 12/2017
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 11/2017 → 12/2017
    Cetera Advisor Networks Llc
    San Diego, CA
  • 12/2017 → Present
    Lpl Financial Llc
    San Diego, CA
Previous Registrations
  • 2017-10-27 → 2017-12-07
    Cetera Wealth Services, Llc
    Corpus Christi, TX
    San Diego, CA
    El Segundo, CA
    Palm Desert, CA
    Colorado Springs, CO
    Torrance, CA
  • 2013-10-02 → 2017-11-01
    Girard Securities, Inc.
    Irvine, CA
    San Diego, CA
    Palm Desert, CA
    San Diego, CA
    Colorado Springs, CO
    Fort Collins, CO
    Tracy, CA
    Torrance, CA
  • 2012-07-02 → 2013-10-07
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 2011-03-14 → 2012-07-02
    First Allied Securities, Inc.
    San Diego, CA
    San Diego, CA
    San Diego, CA
  • 2007-06-05 → 2011-03-15
    Lpl Financial Llc
    San Diego, CA
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-04
  • S66 Uniform Combined State Law Examination
    2007-06-04
Other Names
  • Huy Q Nguyen
  • Huy Quoc Nguyen
  • Huy Nguyen

View on SEC IAPD

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Jeffrey Raymond Dockan
Arben Qirjazi
James Grandinetti
RYAN MAUL
JAMES T FARLEY
ASHLEY LYNN TESTER
Megan Polizzi

Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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