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Thiensa T. Nguyen

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Information

Firm:
Type: Dual Registration
Description

Thiensa Nguyen is a financial professional at Transamerica Financial Advisors, Inc., a broker-dealer with over 4,950 registered representatives nationwide. Thiensa has held an industry securities registration for 12 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Aurora Mental Health Center 2 years Nov 2012 - Present
Transamerica Financial Advisors, Inc. 2 years, 10 months Jan 2012 - Present
Asian Pacific Development Center 3 years, 10 months Jan 2011 - Present
Benefit Mall 4 years, 6 months May 2010 - Present
Servicios De La Raza 4 years, 7 months Apr 2010 - Present
Swallow Hill Music Association 1 year, 11 months Mar 2010 - Feb 2012
City 1st 3 years, 3 months Sep 2008 - Dec 2011
Investment Advisors International, Inc. 4 years, 6 months Jul 2007 - Jan 2012
Innergy Lending 2 years, 6 months Dec 2005 - Jun 2008
Equity Mortgage Solutions 3 months Sep 2005 - Dec 2005
High Mountain Lending 1 year Sep 2004 - Sep 2005
Denver Central Import 8 years, 6 months Jun 2003 - Dec 2011
World Group Securities, Inc. 9 years, 9 months Apr 2002 - Jan 2012
World Financial Group, Inc. 13 years Nov 2001 - Present
Us Postal Service 12 years, 2 months Sep 1995 - Nov 2007
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 01/30/2007
Investment Company Products/Variable Contracts Principal ExaminationSeries 26 04/13/2002
Uniform Securities Agent State Law ExaminationSeries 63 03/02/2002
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 02/02/2002

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Thiensa T. Nguyen has not answered any questions on Financial Q&A.

Top Guides

Thiensa T. Nguyen has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/03/2014
09/02/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions