Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tuongvan? Claim Your ProfileTuongvan Thi Nguyen is a financial advisor registered with LPL Financial LLC. Tuongvan has been working in the financial services industry since 2005. Nguyen has Series 7 and Series 66 licenses, as well as the Securities Industry Essentials (SIE) exam. Nguyen provides advisory services to a variety of clients, including individuals, corporations, and charitable organizations.
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.
1
2
SC
08/30/2023 - Present
LPL Financial LLC (FORT MILL SC)
SC
05/21/2019 - 09/11/2021
LPL FINANCIAL LLC (FORT MILL SC)
NC
04/12/2013 - 12/21/2017
LPL FINANCIAL LLC (CHARLOTTE NC)
NC
06/01/2009 - 06/29/2011
MORGAN STANLEY SMITH BARNEY (CHARLOTTE NC)
NC
10/01/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
NC
05/17/2007 - 09/29/2008
WACHOVIA SECURITIES, LLC (CHARLOTTE NC)
NC
02/15/2005 - 05/17/2007
AXA ADVISORS, LLC (CHARLOTTE NC)
BOTH
Issued 03/07/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/21/2017
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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