DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Huy Quoc Nguyen
Feed of 09/14/2026
Also filed as Huy Q Nguyen
At current firm
8 y
since Dec 22, 2017
In the industry
19 y
since Jun 4, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Dec 22, 2017 · San Diego, Ca
- Cetera Advisor Networks LLC formerOct 27, 2017 to Dec 7, 2017 · Corpus Christi, Tx
- Girard Securities, Inc. formerOct 2, 2013 to Nov 1, 2017 · Irvine, Ca
- First Allied Advisory Services, Inc. formerJul 2, 2012 to Oct 7, 2013 · San Diego, Ca
- First Allied Securities, Inc. formerMar 14, 2011 to Jul 2, 2012 · San Diego, Ca
- LPL Financial LLC BD affiliatedJun 5, 2007 to Mar 15, 2011 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Cetera Advisor Networks LLC to LPL Financial LLCleft Dec 7, 2017, registered Dec 22, 2017 (15 days) · Other
- Girard Securities, Inc. to Cetera Advisor Networks LLCleft Nov 1, 2017, registered Oct 27, 2017 (-5 days) · corporate re-registration, not a move
- First Allied Advisory Services, Inc. to Girard Securities, Inc.left Oct 7, 2013, registered Oct 2, 2013 (-5 days) · Other
- First Allied Securities, Inc. to First Allied Advisory Services, Inc.left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- LPL Financial LLC to First Allied Securities, Inc.left Mar 15, 2011, registered Mar 14, 2011 (-1 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address