Thanh Manh Nguyen

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 12/2008 → 04/2024
  Ubs Financial Services Inc
  Tacoma, WA
• 11/2018 → Present
  Crossroads Financial Services, Llc
  Bellevue, WA
• 04/2024 → Present
  Lpl Financial Service
  Bellevue, WA

Previous Registrations

• 2018-10-26 → 2024-05-01
  Raymond James Financial Services Advisors, Inc
  Bellevue, WA
• 2008-12-05 → 2018-11-07
  Ubs Financial Services Inc.
  Tacoma, WA
• 2007-04-02 → 2008-12-08
  Morgan Stanley & Co. Llc
  Tacoma, WA
• 2001-03-13 → 2007-04-02
  Morgan Stanley Dw Inc.
  Tacoma, WA
  Tacoma, WA

Other Businesses

1. 04/01/2024- Crossroads Financial Services- DBA for LPL Business (entity for LPL business)- at reported business location (s)- start date 04/29/2024 2. 04/01/2024- Real Estate- Real Estate Rental- at reported business location (s)- start date 01/01/2010 3. 04/01/2024- Upton LLC- Real Estate Rental- at reported business location (s)- 6 hr per mnth- start date 2018 4. 04/01/2024- Logan Burnett LLC- Real Estate Rental- at reported business location (s)- start date 04/29/2024

Exams

• S63 Uniform Securities Agent State Law Examination
  2001-01-13
• S65 Uniform Investment Adviser Law Examination
  2001-01-13

Designations

• Certified Financial Planner

Other Names

• Thanh Manh Nguyen
• Thanh Nguyen