Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mai? Claim Your ProfileMai Le Nguyen is a financial advisor with Cetera Investment Advisers LLC. Mai has been in the financial industry since 1997 and is registered to provide investment advice in California and Texas. Mai also holds Series 6, 7, 63, and 65 licenses and is a Certified Financial Planner. Before joining Cetera Investment Advisers LLC, Mai worked as a financial advisor at Securian Financial Services, Inc. and Ameritas Investment Corp.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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CA
08/10/2023 - Present
Cetera Investment Advisers LLC (NEWPORT BEACH CA)
CA
07/15/2008 - 08/10/2023
SECURIAN FINANCIAL SERVICES, INC. (NEWPORT BEACH CA)
CA
04/18/2002 - 06/20/2008
AMERITAS INVESTMENT CORP. (FOUNTAIN VALLEY CA)
IN
11/08/2001 - 04/23/2002
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
11/08/2001 - 04/23/2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
MA
11/04/1997 - 11/05/2001
SIGNATOR INVESTORS, INC. (BOSTON MA)
CA
05/12/1997 - 09/23/1997
CENTAURUS FINANCIAL, INC. (ANAHEIM CA)
GA
02/27/1997 - 07/22/1997
WMA SECURITIES, INC. (DULUTH GA)
IA
Issued 12/3/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/3/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/24/2001
Series 7 - General Securities Representative Examination
BC
Issued 2/26/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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