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Alex Nguyen

LPL Financial LLC
29 Years of Experience
Camas, WA
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Alex Nguyen is a registered investment advisor at LPL Financial LLC, based in Camas, WA, with 29 years of industry experience. Alex is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Camas, WA

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
August 2001
Final
Customer Dispute
July 2000
Pending
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Alex sells and services supplemental insurance, including supplemental Medicare insurance, as an agent since 2013. This activity is investment-related and takes minimal time.

Employment History
Current Registrations
LPL Financial LLC
May 2022 - Present · 4 yrs 5 mos
LPL Financial LLCBroker
May 2022 - Present · 4 yrs 5 mos
Previous Registrations
CUNA Brokerage Services, INC.
August 2003 - May 2022 · 18 yrs 9 mos
CUNA Brokerage Services, INC.Broker
March 2003 - May 2022 · 19 yrs 2 mos
Citicorp Investment ServicesBroker
February 2003 - February 2003 · 0 mos
Cal Fed InvestmentsBroker
March 1998 - February 2003 · 4 yrs 11 mos
Wma Securities, INC.Broker
February 1997 - January 1998 · 11 mos
State Registrations5 states
AZCANVSCWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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