Tri Minh Mai

Employer firm

Tm Wealth Management, LLC CRD 310993

$244.3K regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Tm Wealth Management, Llc

Murrieta, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APP_PEND_IARCE	2026-01-01

CA RA
APP_PEND_IARCE

Since 2026-01-01

Branch Locations

Murrieta, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
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
Tm Wealth Management, Llc	Murrieta	CA	08/2020	Present
Ntm Digital	Murrieta	CA	06/2017	Present
Nhat Mai	Menifee	CA	01/2011	06/2017

08/2020 → Present

Tm Wealth Management, Llc

Murrieta, CA
06/2017 → Present

Ntm Digital

Murrieta, CA
01/2011 → 06/2017

Nhat Mai

Menifee, CA

Other Businesses

NAME: NTM DIGITAL; NOT INVESTMENT-RELATED; LOCATION; MURRIETA, CA; POSITION: BUSINESS ADVISOR; STARTE DATE: 06/2017; HOURS: 40 P/MONTH; HOURS DURING TRADING:0; DUTIES: PROVIDE ADVICE ON DIGITAL CONTENT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-07-31
S63	Uniform Securities Agent State Law Examination	2019-03-08

S65 Uniform Investment Adviser Law Examination

2019-07-31
S63 Uniform Securities Agent State Law Examination

2019-03-08

Other Names

Tri Minh Mai

View on SEC IAPD