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Registered advisor
T•••• N•••••
Feed of 09/14/2026
Also filed as Tuong Nguyen
At current firm
2 y
since Apr 25, 2024
In the industry
21 y
since Mar 1, 2005 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 25, 2024 · San Jose, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 23, 2020 to Apr 19, 2024 · Sunnyvale, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 17, 2020 · Cupertino, Ca
- C•••• I••••••••• S••••••• C•••• formerAug 10, 2009 to Oct 1, 2012 · Cupertino, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 1, 2009 to Aug 12, 2009 · Sunnyvale, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jul 1, 2009 · Los Gatos, Ca
- W••• I••••••••• I••• unclassifiedJun 30, 2008 to May 2, 2009 · Los Gatos, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••left Apr 19, 2024, registered Apr 25, 2024 (6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 17, 2020, registered Mar 23, 2020 (6 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left Aug 12, 2009, registered Aug 10, 2009 (-2 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Jul 1, 2009, registered Jul 1, 2009 (0 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
Signals
- T•••• N••••• left C•••••••• G••••• M•••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-04-25)Apr 19, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address