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Thai Cao Nguyen

Valic Financial Advisors, Inc.

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About Thai Cao Nguyen

Thai Cao Nguyen is a financial advisor with Valic Financial Advisors, Inc. Thai has been in the industry since 2011. They hold the Series 6 and Series 63 licenses, as well as the SIE. Thai previously worked at J.P. MORGAN SECURITIES LLC and NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC. Thai specializes in providing financial planning, portfolio management for individuals and selection of other advisors.

Firm Information

Thai Nguyen is currently registered with Valic Financial Advisors, Inc.. Valic Financial Advisors, Inc. is a corporation formed in November 1996, headquartered in Houston, Texas. The firm offers financial planning, portfolio management for individuals, and selection of other advisers, among other services. They also have a wrap fee program and manage assets for both high-net-worth individuals and individuals other than high-net-worth. The firm is registered with the SEC and has a total of 52 state registrations. As of the most recent reporting period, the firm reported approximately $25.25 billion in regulatory assets under management.
Valic Financial Advisors, Inc.

2929 ALLEN PKWY; L7-20

HOUSTON, TX 77019

$25.25B

Assets Under Management

12

Total Clients

1,266

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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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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recommend wrap accounts to clients

Recommend wrap accounts to clients

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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Thai Nguyen’s Registration & Firm History

TX

05/20/2022 - Present

Valic Financial Advisors, Inc. (HOUSTON TX)

TX

01/27/2022 - 04/23/2022

J.P. MORGAN SECURITIES LLC (SPRING TX)

TX

05/21/2020 - 06/24/2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (THE WOODLANDS TX)

TX

01/18/2010 - 05/15/2020

VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 02/02/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/15/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thai Cao Nguyen.
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