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Inactive

Quyen The Nguyen

Svb Asset Management

San Francisco, CA

CRD 5713104

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Employer firm

Svb Asset Management CRD 124567

$32.3B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Svb Asset Management

222 2Nd Street, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-05-21
  • CA RA
    APPROVED
    Since 2014-05-21

Branch Locations

222 2Nd Street, San Francisco, CA 94105 • 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
Svb Securities Santa Clara CA 05/2014 Present
  • 05/2014 → Present
    Svb Securities
    Santa Clara, CA
Previous Registrations
  • 2011-07-20 → 2014-05-20
    Mml Investors Services, Llc
    San Jose, CA
  • 2010-04-27 → 2010-11-08
    First Command Brokerage Services, Inc.
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-04-26
S63 Uniform Securities Agent State Law Examination 2010-04-02
  • S66 Uniform Combined State Law Examination
    2010-04-26
  • S63 Uniform Securities Agent State Law Examination
    2010-04-02
Other Names
  • Alan The Nguyen

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

More in San Francisco, CA

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