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Trang Thuy Nguyen

Advisors Asset Management, Inc.

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About Trang Thuy Nguyen

Trang Thuy Nguyen is a registered investment advisor representative with Advisors Asset Management, Inc. based in Monument, Colorado. Trang has been in the financial services industry since 2001. Trang holds the Series 6, 7TO, 63, and 66 securities licenses. Trang has worked with various financial firms including First Palladium, LLC, Mercap Securities, LLC, and ING Financial Partners, Inc. in the past.

Firm Information

Trang Nguyen is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

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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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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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Trang Nguyen’s Registration & Firm History

CO

04/18/2024 - Present

Advisors Asset Management, Inc. (MONUMENT CO)

IN

05/09/2019 - 07/26/2023

FIRST PALLADIUM, LLC (FORT WAYNE IN)

GA

11/14/2014 - 12/04/2017

MERCAP SECURITIES, LLC (ATLANTA GA)

CO

03/20/2009 - 12/31/2012

ING FINANCIAL PARTNERS, INC. (DENVER CO)

IN

11/14/2008 - 03/20/2009

ASH SECURITIES WHOLESALING, INC. (FORT WAYNE IN)

CO

11/30/2001 - 06/24/2008

JACKSON NATIONAL LIFE DISTRIBUTORS LLC (DENVER CO)

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Licenses & Designations

BOTH

Issued 04/17/2024

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/21/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/13/2024

Series 7TO - General Securities Representative Examination

BC

Issued 12/04/2017

SIE - Securities Industry Essentials Examination

BC

Issued 11/28/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Trang Thuy Nguyen.
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