Tu Nguyen

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

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

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2024-06-27
SC	RA	APPROVED	2024-05-24

VA RA
APPROVED

Since 2024-06-27
SC RA
APPROVED

Since 2024-05-24

Branch Locations

1285 Avenue Of The Americas 20Th Floor, New York, NY 10171 • United States

Myrtle Beach, SC • 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
Citigroup Global Markets Inc	Mclean	VA	12/2008	11/2022
Morgan Stanley Smith Barney	Mclean	VA	06/2009	11/2022
Ubs Financial Services Inc.	Weehawken	NJ	11/2022	Present

12/2008 → 11/2022

Citigroup Global Markets Inc

Mclean, VA
06/2009 → 11/2022

Morgan Stanley Smith Barney

Mclean, VA
11/2022 → Present

Ubs Financial Services Inc.

Weehawken, NJ

Previous Registrations

2009-07-16 → 2022-12-06

Morgan Stanley

Mclean, VA

Washington, DC

Washington, DC

Other Businesses

*417539 - Three Little Monkeys LLC; Investment related - Yes; Lorton, Virginia; Investment; Partner (proprietor, partner, officer, director, employee, trustee, agent) 11/2020; During business hours: 0; After business hours: 1; Administrative

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-07-11

S66 Uniform Combined State Law Examination

2009-07-11

View on SEC IAPD