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Vu Nguyen
26 Years of Experience
San Jose, CA
1 DisclosureBroker
Vu Nguyen is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in San Jose, CA, with 26 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
5448 Thornwood Dr, Suite 102, San Jose, CA, 95123
Get directionsHistory
Regulatory History (1)
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.
Customer Dispute
August 2020Denied
Other Business Activities
Vu is a financial advisor, treasurer, president, secretary, and independent contractor for Wealthstone Asset Management Group, Inc. Vu spends minimal time on this activity.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
April 2024 - Present · 2 yrs 3 mos
Raymond James Financial Services, INC.Broker
April 2024 - Present · 2 yrs 3 mos
Previous Registrations
Raymond James & Associates, INC.Broker
March 2021 - April 2024 · 3 yrs 1 mo
Raymond James & Associates, INC.
March 2021 - April 2024 · 3 yrs 1 mo
Unionbanc Investment Services, LLCBroker
March 2009 - March 2021 · 12 yrs
Unionbanc Investment Services, LLC
March 2009 - March 2021 · 12 yrs
Wamu Investments, INC.
September 2008 - April 2009 · 7 mos
Wamu Investments, INC.Broker
September 2008 - April 2009 · 7 mos
Countrywide Investment Services, INC.
September 2007 - September 2008 · 1 yr
Countrywide Investment Services, INC.Broker
October 2006 - September 2008 · 1 yr 11 mos
State Farm Vp Management CORP.Broker
September 2005 - November 2005 · 2 mos
Securities America Advisors, INC.
December 2003 - September 2005 · 1 yr 9 mos
Securities America, INC.Broker
October 2003 - September 2005 · 1 yr 11 mos
Wells Fargo Brokerage Services, L.L.C.Broker
August 2003 - October 2003 · 2 mos
Wells Fargo Investments, LLC
June 2001 - October 2003 · 2 yrs 4 mos
Wells Fargo Investments, LLCBroker
June 2001 - October 2003 · 2 yrs 4 mos
Wells Fargo Brokerage Services, L.L.C.Broker
June 2001 - August 2002 · 1 yr 2 mos
American Express Financial Advisors INC.Broker
June 1998 - June 2001 · 3 yrs
Ids Life Insurance CompanyBroker
June 1998 - June 2001 · 3 yrs
State Registrations14 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.