Tri Nguyen is a registered investment advisor at Morgan Stanley, based in San Francisco, CA, with 26 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
221 Main Street, Suite 1340, San Francisco, CA, 94105
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
September 2023 - Present · 3 yrs
Morgan StanleyBroker
September 2023 - Present · 3 yrs
Previous Registrations
Empower Financial Services, INC.Broker
August 2022 - August 2023 · 1 yr
Empower Advisory Group, LLC
August 2022 - August 2023 · 1 yr
Alders Financial Solutions
November 2020 - August 2022 · 1 yr 9 mos
LPL Financial LLC
May 2020 - April 2022 · 1 yr 11 mos
LPL Financial LLCBroker
May 2020 - April 2022 · 1 yr 11 mos
Cuso Financial Services, L.P.
December 2018 - April 2020 · 1 yr 4 mos
Cuso Financial Services, L.P.Broker
December 2018 - April 2020 · 1 yr 4 mos
TD Ameritrade, INC.Broker
February 2018 - April 2018 · 2 mos
Scottrade Investment Management
September 2016 - April 2018 · 1 yr 7 mos
Scottrade, INC.Broker
November 2012 - February 2018 · 5 yrs 3 mos
J.P. Morgan Securities LLCBroker
October 2012 - October 2012 · 0 mos
J.P. Morgan Securities LLC
October 2012 - October 2012 · 0 mos
Chase Investment Services CORP.
November 2010 - October 2012 · 1 yr 11 mos
Chase Investment Services CORP.Broker
November 2010 - October 2012 · 1 yr 11 mos
Amerivest Investment Management, LLC
April 2006 - April 2010 · 4 yrs
TD Ameritrade, INC.
November 2003 - April 2010 · 6 yrs 5 mos
TD Ameritrade, INC.Broker
January 2002 - April 2010 · 8 yrs 3 mos
E*trade Securities, IncorporatedBroker
October 1997 - August 2001 · 3 yrs 10 mos
State Registrations53 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.