Valerie Nguyen Tu

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

• 06/2026 → Present
  Fremont Bank
  Fremont , CA
• 06/2026 → Present
  Lpl Financial Llc
  Fremont , CA
• 10/2014 → 07/2023
  Bancwest Investment Services
  Torrance, CA
• 10/2014 → 05/2026
  Bmo Bank Na
  Torrance, CA
• 07/2023 → 05/2026
  Lpl Financial Llc
  Los Gatos, CA

Previous Registrations

• 2023-07-19 → 2026-05-17
  Lpl Financial Llc
  Los Gatos, CA
  Los Altos, CA
  Cupertino, CA
  San Jose, CA
  Sunnyvale, CA
  San Jose, CA
  Sunnyvale, CA
• 2014-10-16 → 2023-07-19
  Bancwest Investment Services, Inc.
  Torrance, CA
  San Jose, CA
  Palo Alto, CA
  Los Gatos, CA
  Cupertino, CA
  San Jose, CA
  Gilroy, CA
  San Jose, CA
  San Jose, CA
  Santa Cruz, CA
  Morgan Hill, CA
  Los Altos, CA
  Sunnyvale, CA
  Sunnyvale, CA
• 2009-05-08 → 2014-10-02
  Citigroup Global Markets Inc.
  San Jose, CA
  San Francisco, CA
  San Jose, CA
  Jacksonville, FL
  San Francisco, CA
  Saratoga, CA
  San Ramon, CA
  San Jose, CA
  San Jose, CA
• 2008-07-22 → 2008-12-01
  Wells Fargo Clearing Services, Llc
  San Leandro, CA
• 2007-01-22 → 2008-07-09
  Banc Of America Investment Services, Inc.
  Morgan Hill, CA
  Morgan Hill, CA
• 2005-08-08 → 2006-12-19
  Wells Fargo Investments, Llc
  Milpitas, CA
  Milpitas, CA

Other Businesses

1. 06/2026 - No Business Name - Real Estate Rental - Inv Related – 2 Hour(s)/Month – 0 Hour(s) During Trading – San Jose, CA, 95133 – OBA Start Date: 06/01/2023 2. 06/2026 - No Business Name - Real Estate Rental - Inv Related – 2 Hour(s)/Month – 0 Hour(s) During Trading – San Jose, CA, 95133 – OBA Start Date: 05/01/2013 3. Investment products and services are offered through LPL Financial LLC using the DBA/trade name FB Investment Services - Inv Rel - At Reported Business Location (s) - Start Date: 06/2026 4. 06/2026 - Fremont Bank - Financial Institution Duty - Inv Related – 173 Hour(s)/Month – 100 Hour(s) During Trading – Fremont, CA, 94538 – OBA Start Date: 06/02/2026

Exams

• S66 Uniform Combined State Law Examination
  2005-08-05

Designations

• Certified Financial Planner

Other Names

• Van T Nguyen
• Valerie Nguyen