Tuongvan Nguyen is a registered investment advisor at LPL Financial LLC, based in Fort Mill, SC, with 15 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
259 Textile Way Ste 105, Fort Mill, SC, 29715
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Regulatory History
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 →Other Business Activities
Tuongvan operates Ruffalo Wealth Management as a DBA for her LPL business. This investment-related activity takes nearly full-time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations1 state
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.