Tuong Dung Nguyen Vu

Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

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:

Current Employers

Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-10-01
CA	RA	APPROVED	2015-07-30

TX RA
APPROVED_RES

Since 2024-10-01
CA RA
APPROVED

Since 2015-07-30

Branch Locations

Garden Grove, CA • United States

3200 Park Center Dr Suite 320, Costa Mesa, CA 92626 • 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
Mass Mutual Financial	Irvine	CA	02/2006	Present
Mml Investors Services	Irvine	CA	03/2006	Present

02/2006 → Present

Mass Mutual Financial

Irvine, CA
03/2006 → Present

Mml Investors Services

Irvine, CA

Other Businesses

1)NAME: TUONG DUNG VU INV REL: Y ADD: 3200 PARK CENTER DR SUITE 320 COSTA MESA CA 92626 NATURE: INDIVIDUAL LIFE/HEALTH, GROUP LIFE/HEALTH POSITION: SALES/AGENT DATE: 1/1/06 HR/MO: 10 HR/MO DURING SEC TRADING:0 (2) NAME: THE COLLEGE FUNDING COACH INV REL: Y ADD: 3200 PARK CENTER DRIVE STE 320 COSTA MESA CA 92626 NATURE: COLLEGE CONSULTING POSITION: COLLEGE CONSULTANT START DATE: 7/1/2023 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 2 DUTIES: COLLEGE FUNDING WORKSHOPS, COLLEGE CONSULTATION WITH FAMILIES (3) NAME: FOUNDTIONAL CORNERSTONES FINANCIAL & INSURANCE SERVICES, LLC INV REL: Y ADD: 3200 PARK CENTER DR STE 320 COSTA MESA CA 92626 NATURE: FACILITATOR FOR AFFINITY GROUP THROUGH CALIFORNIA, STATE UNIVERSITY FULLERTON-CENTER FOR FAMILY BUSINESS POSITION: OWNER/FALICITATOR START DATE:10/01/2024 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 2 DUTIES: FACILITATE MONTHLY MEETINGS FOR AFFINITIY GROUP (4) NAME: FOUNDATIONAL CORNERSTONES FINANCIAL & INSURANCE SERVICES, LLC INV REL: Y ADD: 3200 PARK CENTER DR STE 320 COSTA MESA CA 82626 NATURE: REFERRALPOSITION: REFFERER START DATE: 01/01/2026 NO. HR/MO: 1 NO. HR/MO DURING EC TRADING: 1 DUTIES: REFERER FOR ACCIDENT SETTLEMENTS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-07-09
S63	Uniform Securities Agent State Law Examination	2006-06-13

S65 Uniform Investment Adviser Law Examination

2015-07-09
S63 Uniform Securities Agent State Law Examination

2006-06-13

View on SEC IAPD