Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vu? Claim Your ProfileVu Hoang Nguyen is a financial advisor with over 24 years of experience in the financial services industry. Vu Hoang Nguyen is currently registered with Raymond James Financial Services Advisors, Inc. and has previously worked with other financial firms such as RAYMOND JAMES & ASSOCIATES, INC., UNIONBANC INVESTMENT SERVICES, LLC, WAMU INVESTMENTS, INC., COUNTRYWIDE INVESTMENT SERVICES, INC., STATE FARM VP MANAGEMENT CORP., SECURITIES AMERICA, INC., WELLS FARGO BROKERAGE SERVICES, L.L.C., WELLS FARGO INVESTMENTS, LLC, AMERICAN EXPRESS FINANCIAL ADVISORS INC., and IDS LIFE INSURANCE COMPANY. Vu Hoang Nguyen is licensed to provide investment advice in multiple states, including California, Arizona, Colorado, Florida, Illinois, Louisiana, Michigan, Minnesota, New Jersey, North Carolina, Oregon, Tennessee, Texas, and Washington.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
04/01/2024 - Present
Raymond James Financial Services Advisors, Inc. (San Jose CA)
CA
03/04/2021 - 04/02/2024
RAYMOND JAMES & ASSOCIATES, INC. (San Jose CA)
CA
03/31/2009 - 03/11/2021
UNIONBANC INVESTMENT SERVICES, LLC (MORGAN HILL CA)
CA
09/24/2008 - 04/07/2009
WAMU INVESTMENTS, INC. (PORTOLA VALLEY CA)
CA
10/20/2006 - 09/04/2008
COUNTRYWIDE INVESTMENT SERVICES, INC. (SAN JOSE CA)
IL
09/26/2005 - 11/14/2005
STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)
NE
10/21/2003 - 09/08/2005
SECURITIES AMERICA, INC. (LAVISTA NE)
MN
08/21/2003 - 10/16/2003
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
CA
06/04/2001 - 10/16/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MN
06/04/2001 - 08/12/2002
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
MN
06/12/1998 - 06/07/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/12/1998 - 06/07/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 08/10/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/11/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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