Chi Nguyen, financial advisor Westlake Village CA
93 score

Chi Nguyen

CRD Number: 5516391
Current Firm: Stifel, Nicolaus & Company, Incorporated

Chi Nguyen (CRD# 5516391) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Westlake Village, CA and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel Nicolaus & Co Inc. Westlake Village, CA Nov 2011 - Current 5
Ubs Financial Services Inc. Westlake Village, CA Feb 2009 - Nov 2011 2
Ubs Financial Services Westlake Village, CA Mar 2008 - Jan 2009 < 1
Countrywide Bank Thousand Oaks, CA May 2007 - Feb 2008 < 1
Wells Fargo Bank Thousand Oaks, CA Jul 2006 - Apr 2007 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination May 2010
Contact Info for Chi T. Nguyen
Phone Number: 314-342-2000
Firm Website: http://www.stifel.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    38,401
    MILLIONS
  • Total Number of Accounts
    115,441
    ACCOUNTS
  • Average Account Value
    $332,650
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • 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, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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