Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tom? Claim Your ProfileTom Nguyen is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in Tempe, Arizona. Tom Nguyen is a registered representative with the Financial Industry Regulatory Authority (FINRA) and has been in the industry since 2014. Tom Nguyen is also a registered investment advisor (RIA) and has been providing financial advice since 2014. Tom Nguyen has a diverse client base, including individuals, families, businesses, and institutional investors. Tom Nguyen offers a range of financial services, including portfolio management, financial planning, and retirement 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
AZ
01/31/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Tempe AZ)
AZ
09/01/2020 - 02/08/2023
UNIONBANC INVESTMENT SERVICES, LLC (TEMPE AZ)
AZ
09/18/2019 - 09/15/2020
MORGAN STANLEY (PEORIA AZ)
AZ
10/27/2014 - 08/27/2019
CHARLES SCHWAB & CO., INC. (Tucson AZ)
IA
Issued 2/16/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/6/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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