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Maria Uyen Nguyen

Principal Advised Services

Torrance, CA

CRD 6271731

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Employer firm

Principal Advised Services CRD 297324

$1.42B regulatory AUM 16,537 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-05-04
IA RA APPROVED 2026-05-04
  • CA RA
    APPROVED
    Since 2026-05-04
  • IA RA
    APPROVED
    Since 2026-05-04

Branch Locations

Torrance, CA • 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
OrganizationCityStateFromTo
National Planning Corporation El Segundo CA 08/2014 01/2018
Cetera Advisor Networks Llc El Segundo CA 04/2018 04/2024
Cetera Advisers Llc Greenwood Village CO 04/2018 04/2024
Principal Life Insurance Company Des Moines IA 04/2024 Present
Principal Securities, Inc. Des Moines IA 04/2024 Present
Principal Advised Services Torrance CA 04/2026 Present
Unemployed Torrance CA 02/2018 03/2018
  • 08/2014 → 01/2018
    National Planning Corporation
    El Segundo, CA
  • 04/2018 → 04/2024
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 04/2018 → 04/2024
    Cetera Advisers Llc
    Greenwood Village, CO
  • 04/2024 → Present
    Principal Life Insurance Company
    Des Moines, IA
  • 04/2024 → Present
    Principal Securities, Inc.
    Des Moines, IA
  • 04/2026 → Present
    Principal Advised Services
    Torrance, CA
  • 02/2018 → 03/2018
    Unemployed
    Torrance, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-08
S63 Uniform Securities Agent State Law Examination 2014-01-18
  • S65 Uniform Investment Adviser Law Examination
    2025-04-08
  • S63 Uniform Securities Agent State Law Examination
    2014-01-18
Other Names
  • Maria U Nguyen
  • Maria Uyen Nguyen
  • Maria Nguyen

View on SEC IAPD

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