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Lam Nguyen

LPL Enterprise, LLC

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About Lam Nguyen

Lam Nguyen is a financial professional with experience in the industry. Lam is currently registered with LPL Enterprise, LLC and has been registered with the firm since November 2024. Lam has also been employed by W&S Brokerage Services, Inc. in the past. Lam holds a Series 7, Series 66 and SIE license, with the most recent exam being taken in December 2023. Lam has been registered in Florida and Georgia as well as in California and is active in providing investment advisory services. Lam is specialized in providing financial planning, consulting and other non-discretionary advisory services.

Firm Information

Lam Nguyen is currently registered with LPL Enterprise, LLC. LPL Enterprise, LLC is a Limited Liability Company registered in South Carolina and formed on May 25, 2023. They offer financial planning, educational seminars, portfolio management for individuals and businesses, and other consulting and non-discretionary advisory services. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. They have a total of 55 registered representatives and 12 investment advisor representatives. The firm participates in wrap fee programs.
LPL Enterprise, LLC

1055 LPL WAY

FORT MILL, SC 29715

Not reported

Assets Under Management

Not reported

Total Clients

50

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Lam Nguyen’s Registration & Firm History

FL

11/18/2024 - Present

LPL Enterprise, LLC (TAMPA FL)

FL

09/27/2023 - 06/03/2024

W&S BROKERAGE SERVICES, INC. (TAMPA FL)

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Licenses & Designations

BOTH

Issued 12/08/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/27/2023

Series 7TO - General Securities Representative Examination

BC

Issued 05/19/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lam Nguyen.
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