Mai Le Nguyen

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 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

• 06/2008 → 08/2023
  Minnesota Life Insurance Co.
  St. Paul, MN
• 07/2008 → 08/2023
  Securian Financial Services
  St. Paul, MN
• 06/2008 → Present
  Tax And Financial
  Newport Beach, CA
• 08/2023 → Present
  Cetera Wealth Services, Llc
  Newport Beach, CA
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 08/2025 → Present
  Mln Advisory Llc
  Newport Beach, CA

Previous Registrations

• 2008-07-11 → 2023-08-10
  Securian Financial Services, Inc.
  Newport Beach, CA
  St. Paul, MN
• 2002-05-01 → 2008-06-20
  Ameritas Investment Company, Llc
  Claremont, CA
  Fountain Valley, CA
  Sacramento, CA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2023; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE; 2. NAME OF OTHER BUSINESS: TAX AND FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: MLN ADVISORY LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 08/2025, POSITION/TITLE/RELATIONSHIP: SINGLE MEMBER OWNER (S CORP), APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 8, BRIEF DESCRIPTION OF DUTIES: S CORP TO PAY MY INVESTMENT COMMISSIONS TO MANAGE EXPENSES AND TAXES;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-03
• S63 Uniform Securities Agent State Law Examination
  1997-03-03

Designations

• Certified Financial Planner

Other Names

• Mai Le Tran