Sy Q Nguyen

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-09-15
CA	RA	APPROVED	2022-08-22

Branch Locations

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

Organization	City	State	From	To
Edward Jones	St Louis	MO	04/2019	06/2022
Target Corporation	San Jose	CA	10/2018	02/2019
Unemployed	San Jose	CA	12/2017	09/2018
Hd Bank	Ho Chi Minh City		04/2015	11/2017
Unemployed	San Jose	CA	07/2022	07/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	San Jose	CA	08/2022	Present
Bank Of America, N.A.	San Jose	CA	08/2022	Present

04/2019 → 06/2022

Edward Jones

St Louis, MO
10/2018 → 02/2019

Target Corporation

San Jose, CA
12/2017 → 09/2018

Unemployed

San Jose, CA
04/2015 → 11/2017

Hd Bank

Ho Chi Minh City
07/2022 → 07/2022

Unemployed

San Jose, CA
08/2022 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA
08/2022 → Present

Bank Of America, N.A.

San Jose, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-06-03

Nearby Firms