Tony Nguyen, financial advisor Los Angeles CA
73 score

Tony Nguyen

CRD Number: 4559938
Current Firm: Seia

Tony Nguyen (CRD# 4559938) is an Investment Advisor Representative working at Seia in Los Angeles, CA and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Sii Losangeles, CA Oct 2014 - Current 2
Signature Estate & Investment Advisors LLC Los Angeles, CA Sep 2014 - Current 2
City National Securities Beverly Hills, CA Oct 2013 - Sep 2014 < 1
Wedbush Morgan Securities Los Angeles, CA Mar 2008 - Oct 2013 5
Banc Of America Securities, LLC Los Angeles, CA Nov 2005 - Mar 2008 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2003
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Tony Q. Nguyen
Phone Number: 310-712-2323
Firm Website: http://www.seia.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    3,850
    MILLIONS
  • Total Number of Accounts
    8,557
    ACCOUNTS
  • Average Account Value
    $449,900
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AZ, CA, CO, DC, FL, HI, ID, IL, IN, LA, MA, MD, MN, MO, MS, MT, NC, NH, NJ, NM, NV, NY, OH, OR, PA, PR, SC, TX, UT, VA, WA

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BADGES
73

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