Chinh Thien 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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-03-31
OR	RA	APPROVED	2019-05-30

TX RA
APPROVED_RES

Since 2021-03-31
OR RA
APPROVED

Since 2019-05-30

Branch Locations

Portland, OR • 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Foresters Financial	Beaverton	OR	08/1999	05/2019
Foresters Advisory Services Llc	Beaverton	OR	06/2013	05/2019
Nguyen Management Inc.	Sherwood	OR	12/2013	Present
Iron Sight Llc	Sherwood	OR	04/2016	Present
Lpl Financial Llc	Tualatin	OR	05/2019	Present

08/1999 → 05/2019

Foresters Financial

Beaverton, OR
06/2013 → 05/2019

Foresters Advisory Services Llc

Beaverton, OR
12/2013 → Present

Nguyen Management Inc.

Sherwood, OR
04/2016 → Present

Iron Sight Llc

Sherwood, OR
05/2019 → Present

Lpl Financial Llc

Tualatin, OR

Previous Registrations

2013-06-19 → 2019-05-16

Foresters Advisory Services, Llc

Beaverton, OR

Other Businesses

1) 05/16/2019 - One Life Financial Group - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s)- start: 05/2019 2) 05/16/2019 - Nguyen Management, Inc. - Business Entity For Tax/Investment Purposes Only - non-inv rel - Sherwood, OR - 1 hr/mth 3) 05/16/2019 - PEWCIFIC NORTHWEST LLC - APPAREL COMPANY - non-inv rel - Cresswell, OR - start: 01/2019 4) 05/16/2019 - Iron Sight, LLC - Firearms Safety - non-inv rel - Sherwood, OR - start: 04/2016 - 2 hr/mth. 5) 2/4/2020 - Good Life IA - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 05/17/2019 - 4 Hours Per Month During Securities Trading. 6) 03/11/2026 - Mad Creek Ranch and Cattle - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Gates, OR - Start Date 02/19/2026 - 20 hours per month/ 0 hours during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-04-17
S63	Uniform Securities Agent State Law Examination	1999-11-12

S65 Uniform Investment Adviser Law Examination

2013-04-17
S63 Uniform Securities Agent State Law Examination

1999-11-12

View on SEC IAPD