Unclaimed
Mai Quynh Vu is an investment advisor representative with LPL Financial LLC. Mai has been in the financial services industry since August 2005. Mai holds the Series 6, 7, 63, and 65 licenses, as well as the SIE exam. Mai is registered to offer investment advisory services in California and Texas. Mai has experience working with individual clients, corporations, and charitable organizations. Mai is committed to providing her clients with personalized financial advice and investment strategies. Mai also provides other non-discretionary advisory services in addition to financial planning.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
04/13/2021 - Present
LPL Financial LLC (MANHATTAN BEACH CA)
CA
08/03/2005 - 12/13/2011
MML INVESTORS SERVICES, LLC (LOS ALAMITOS CA)
IA
Issued 06/10/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/03/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2006
Series 7 - General Securities Representative Examination
BC
Issued 07/26/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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