Duc Vu Nguyen

Current Employers

Cibc Private Wealth Advisors, Inc.

181 West Madison Street 36Th Floor, Chicago, IL 60602 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-11-21

CA RA
APPROVED

Since 2023-11-21

Branch Locations

101 Second Avenue Suite 2500, San Francisco, CA 94105 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Eagle Fund Distributors, Inc.	Folsom	CA	06/2010	Present
Carillon Tower Advisers, Inc.	St. Petersburg	FL	06/2016	10/2023
Cibc Private Wealth	San Francisco	CA	11/2023	Present

06/2010 → Present

Eagle Fund Distributors, Inc.

Folsom, CA
06/2016 → 10/2023

Carillon Tower Advisers, Inc.

St. Petersburg, FL
11/2023 → Present

Cibc Private Wealth

San Francisco, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-12-21
S66	Uniform Combined State Law Examination	2000-12-13

S65 Uniform Investment Adviser Law Examination

2023-12-21
S66 Uniform Combined State Law Examination

2000-12-13

View on SEC IAPD

Current Employers

Cibc Private Wealth Advisors, Inc.

Disclosures

Employment History

Exams

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