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Lam V Nguyen

LPL Financial LLC

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About Lam V Nguyen

Lam Nguyen is a financial advisor with LPL Financial LLC and has been in the industry since September 8, 2020. Lam specializes in providing investment advice to individuals, businesses, and retirement plans. Lam is registered with the state of Washington and has a Series 7TO, Series 63, and SIE licenses. Lam has been a licensed financial advisor for over four years and has a strong track record of success.

Firm Information

Lam Nguyen is currently registered with LPL Financial LLC. LPL Financial LLC is a Limited Liability Company formed in 2010 and headquartered in Fort Mill, South Carolina. It provides advisory services including financial planning, pension consulting, and portfolio management for individuals and businesses. The firm manages over $463 billion in assets for a variety of clients, including high-net-worth individuals, corporations, pension plans, and charitable organizations. LPL Financial is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.
LPL Financial LLC

1055 LPL WAY

FORT MILL, SC 29715

$463.48B

Assets Under Management

168,915

Total Clients

21,775

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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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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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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commissions

Earned based on transactions or products sold.

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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

WA

11/04/2024 - Present

LPL Financial LLC (BELLEVUE WA)

WA

11/22/2022 - 04/05/2024

AMERIPRISE FINANCIAL SERVICES, LLC (BELLEVUE WA)

WA

07/09/2019 - 02/09/2022

HSBC SECURITIES (USA) INC. (REDMOND WA)

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Licenses & Designations

BC

Issued 11/14/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/09/2019

Series 7TO - General Securities Representative Examination

BC

Issued 05/31/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Lam V Nguyen. Review regulatory record here.
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