Alex Hung 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
WA	RA	APPROVED	2022-05-18

WA RA
APPROVED

Since 2022-05-18

Branch Locations

Camas, WA • United States

Disclosures

2 disclosure categories 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Cuna Brokerage Services, Inc.	Waverly	IA	02/2003	Present
Lpl Financial Llc	Vancouver	WA	05/2022	Present

02/2003 → Present

Cuna Brokerage Services, Inc.

Waverly, IA
05/2022 → Present

Lpl Financial Llc

Vancouver, WA

Previous Registrations

2003-08-18 → 2022-05-18

Cuna Brokerage Services, Inc.

San Jose, CA

Livermore, CA

Vancouver, WA

Livermore, CA

Livermore, CA

Livermore, CA

Tracy, CA

Pleasanton, CA

San Jose, CA

Other Businesses

FIXED INSURANCE SALES AND SERVICING OF SUPPLEMENTAL INSURANCE, INCLUDING SUPPLEMENTAL MEDICARE INSURANCE. AGENT. START DATE 3/6/2013. ACTIVITY IS INVESTMENT RELATED. DEVOTE APPROX 10 HRS/MO WITH 0 HRS DURING TRADING HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-12-17
S63	Uniform Securities Agent State Law Examination	1997-02-13

S65 Uniform Investment Adviser Law Examination

2002-12-17
S63 Uniform Securities Agent State Law Examination

1997-02-13

Other Names

Alex Nguyen

View on SEC IAPD