Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tri? Claim Your ProfileTri D. Nguyen is a financial advisor with Morgan Stanley and has been in the industry since 1999. Tri is registered with the state of California and holds various licenses, including Series 66, Series 63, Series 10, Series 9, Series 4, Series 24, SIE, and Series 7. Tri has a strong track record of success in helping clients achieve their financial goals and provides a range of services, including financial planning, pension consulting, and portfolio management.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
09/08/2023 - Present
Morgan Stanley (San Francisco CA)
CO
08/12/2022 - 08/31/2023
EMPOWER FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
CA
05/05/2020 - 04/11/2022
LPL FINANCIAL LLC (NOVATO CA)
CA
12/18/2018 - 04/15/2020
CUSO FINANCIAL SERVICES, L.P. (SAN FRANCISCO CA)
NE
02/26/2018 - 04/02/2018
TD AMERITRADE, INC. (OMAHA NE)
CA
11/07/2012 - 02/26/2018
SCOTTRADE, INC. (WALNUT CREEK CA)
CA
10/01/2012 - 10/17/2012
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
CA
11/24/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN FRANCISCO CA)
CA
01/15/2002 - 04/07/2010
TD AMERITRADE, INC. (SAN MATEO CA)
NJ
10/16/1997 - 08/31/2001
E*TRADE SECURITIES, INCORPORATED (JERSEY CITY NJ)
BOTH
Issued 10/01/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/11/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/05/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/25/1999
Series 4 - Registered Options Principal Examination
BC
Issued 03/09/1999
Series 24 - General Securities Principal Examination
BC
Issued 04/02/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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