Lisa Huu Nguyen

Current Employers

Optimize Financial Inc.

100 Spectrum Ctr Dr Ste 300, Irvine, CA 92618 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-07-16
IA	RA	APPROVED	2025-04-02
CO	RA	APPROVED	2025-03-14
TX	RA	APPROVED	2022-11-30
CA	RA	APPROVED	2021-10-14

FL RA
APPROVED

Since 2025-07-16
IA RA
APPROVED

Since 2025-04-02
CO RA
APPROVED

Since 2025-03-14
TX RA
APPROVED

Since 2022-11-30
CA RA
APPROVED

Since 2021-10-14

Branch Locations

100 Spectrum Ctr Dr Ste 300, Irvine, CA 92618 • 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
Wells Fargo Advisors Financial Network, Llc	Irvine	CA	06/2019	10/2021
Nguyen Mds Inc	Irvine	CA	06/2010	Present
Toc Toc, Llc	Huntington Beach	CA	01/2018	09/2025
Ex Animo	Huntington Beach	CA	08/2020	Present
Optimize Financial Inc.	Laguna Hills	CA	10/2021	Present

06/2019 → 10/2021

Wells Fargo Advisors Financial Network, Llc

Irvine, CA
06/2010 → Present

Nguyen Mds Inc

Irvine, CA
01/2018 → 09/2025

Toc Toc, Llc

Huntington Beach, CA
08/2020 → Present

Ex Animo

Huntington Beach, CA
10/2021 → Present

Optimize Financial Inc.

Laguna Hills, CA

Previous Registrations

2020-02-18 → 2021-10-18

Wells Fargo Advisors Financial Network, Llc

Irvine, CA

Other Businesses

Nguyen MDS Inc., Not INV Related; Irvine, CA; Account Executive; Start 7/1/2019; 2 Hours Per Month; Zero During Trading; Medical Corporation. Ex Animo Inc., INV Related; Huntington Beach, CA; 100% Ownership; Start 8/5/2020; 1 Hour Per Month; Zero Hours During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-02-18

S66 Uniform Combined State Law Examination

2020-02-18

Designations

Other Names

Lisa Nguyen

View on SEC IAPD