Tom Nguyen is a registered investment advisor at Mariner Wealth, based in Scottsdale, AZ, with 11 years of industry experience. Tom operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 44,528 clients with $99B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.25% |
| $1.0M - $5.0M | 1.00% |
| $5.0M - $10.0M | 0.80% |
| $10M+ | 0.60% |
Quarterly minimum fee of $1,875. All fee arrangements are subject to negotiation.
Fee Estimator
Location
17767 N. Scottsdale Rd., Suite 310, Scottsdale, AZ, 85255
Get directionsHistory
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
Tom owns two rental properties, dedicating minimal time to each. He is also a sole proprietor, acting as an officer for himself, and can sell or purchase real estate for himself only.
Employment History
Current Registrations
Mariner Wealth
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Unionbanc Investment Services, LLC
Unionbanc Investment Services, LLCBroker
Morgan Stanley
Morgan StanleyBroker
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
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.