Tom Nguyen

Employer firm

Mariner CRD 140195

$125B regulatory AUM 216 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → 08/2019
  Charles Schwab & Co., Inc
  Tucson, AZ
• 07/2015 → 08/2019
  Charles Schwab Bank
  Tucson, AZ
• 05/2015 → 08/2019
  Real Estate On Dora Street Llc
  Peoria, AZ
• 08/2019 → 08/2020
  Morgan Stanley
  Peoria, AZ
• 08/2019 → 09/2020
  Morgan Stanley Private Bank, N.A
  New York, NY
• 08/2020 → 01/2023
  Unionbanc Investment Services
  Tempe, AZ
• 08/2019 → 08/2020
  Morgan Stanley Private Bank, N.A
  New York, NY
• 01/2023 → 03/2025
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Walnut Creek, CA
• 03/2023 → 03/2025
  Bank Of America, N.A.
  Walnut Creek, CA
• 03/2025 → Present
  Mariner
  Overland Park, KS

Previous Registrations

• 2023-01-27 → 2025-03-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Tempe, AZ
  Walnut Creek, CA
• 2020-09-10 → 2023-02-08
  U.S. Bancorp Advisors, Llc
  Tempe, AZ
  San Jose, CA
  Daly City, CA
  San Jose, CA
  Palo Alto, CA
  Menlo Park, CA
  San Jose, CA
  Saratoga, CA
  San Jose, CA
  Sunnyvale, CA
• 2019-09-18 → 2020-09-15
  Morgan Stanley
  Peoria, AZ
• 2016-02-16 → 2019-08-27
  Charles Schwab & Co., Inc.
  Tucson, AZ
  Phoenix, AZ

Other Businesses

I*1166269 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Mesa, Arizona, 85201 Nature of business: Position, title, association: Sole owner, Start date of relationship: 5/15/2015 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*1166270 For profit or not for profit: Name of outside business organization: Rental Property 2 Investment related: N Address of business: Chandler, Arizona, 85226 Nature of business: Position, title, association: Sole owner, Start date of relationship: 6/29/2022 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*1166272 For profit or not for profit: Entity For Profit Name of outside business organization: Tom Nguyen Investment related: N Address of business: Tempe, Arizona, 85283 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Officer"], Start date of relationship: 1/1/2023 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , ability to sell or purchase real estate for self only

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-02-16
• S63 Uniform Securities Agent State Law Examination
  2015-03-06

Other Names

• Tom Luu Nguyen
• Tom L Nguyen