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Mai N Nguyen

Morgan Stanley

Newport Beach, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-10-26
TX RA APPROVED_RES 2018-10-26
  • CA RA
    APPROVED
    Since 2018-10-26
  • TX RA
    APPROVED_RES
    Since 2018-10-26

Branch Locations

800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • 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
Ubs Financial Services Inc Irvine CA 11/2013 10/2018
Morgan Stanley Newport Beach CA 10/2018 Present
Previous Registrations
  • 2009-03-09 → 2018-11-07
    Ubs Financial Services Inc.
    San Diego, CA
    Weehawken, NJ
    Carlsbad, CA
    Carlsbad, CA
    San Diego, CA
    Weehawken, NJ
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-06
  • S66 Uniform Combined State Law Examination
    2009-03-06
Other Names
  • Mai Nhu Nguyen

View on SEC IAPD

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Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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