Vu Nguyen, financial advisor Milpitas CA
83 score

Vu Nguyen

CRD Number: 3046369
Current Firm: Unionbanc Investment Services, LLC

Vu Nguyen (CRD# 3046369) is an Investment Advisor Representative working at Unionbanc Investment Services, LLC in Milpitas, CA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Unionbanc Investment Services San Jose, CA Mar 2009 - Current 7
Wamu Investments, Inc. Palo Alto, CA Sep 2008 - Mar 2009 < 1
Countrywide Investment Services, Inc. Chandler, AZ Oct 2006 - Sep 2008 1
State Farm Vp Management Corp Waterloo, IA Sep 2005 - Oct 2006 1
State Farm Insurance Waterloo, IA Jul 2005 - Oct 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1998
S65 NASAA Investment Advisors Law Examination Aug 2007
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Vu H. Nguyen
Phone Number: 800-634-1100
Registered State(s):
  • CA
  • OH
  • OR
  • WA
By the Numbers
  • Total Assets Under Management
    773
    MILLIONS
  • Total Number of Accounts
    3,196
    ACCOUNTS
  • Average Account Value
    $241,970
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • 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)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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