Luc Nghi Du

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2000 → Present
  Du & Assoc. Insurance & Financial Srvcs.
  El Monte, CA
• 05/2016 → 11/2018
  Signator Investors, Inc.
  El Monte, CA
• 11/2018 → Present
  Osaic Wealth, Inc.
  El Monte, CA

Previous Registrations

• 2016-05-13 → 2018-11-02
  Signator Investors, Inc.
  El Monte, CA
  Huntington Beach, CA
• 2009-09-04 → 2016-05-13
  Transamerica Financial Advisors, Llc
  Pasadena, CA
  El Monte, CA
  Pasadena, CA
  Huntington Beach, CA
• 2005-06-14 → 2009-09-04
  Transamerica Financial Advisors, Inc.
  Arcadia, CA
  San Marino, CA

Other Businesses

1. RENTAL PROPERTY POSITION: owner NATURE: Rental Propety INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/15/2010 ADDRESS: DESCRIPTION: collect rent 2. DU & ASSOCIATES INSURANCE AND FINANCIAL SERVICES POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 03/15/2001 ADDRESS: 4411 Bowser Ave. #305, Dallas TX 75219, United States DESCRIPTION: Insurance Sales

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-08-18
• S63 Uniform Securities Agent State Law Examination
  1998-10-23

Other Names

• Luc Nghi Du