Michael-Duy Thanh Nguyen

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

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:

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

Current Employers

Employment History

• 05/2016 → 12/2016
  Penn Mutual Life Ins Co
  Horsham, TX
• 07/2016 → 12/2016
  Hornor Townsend & Kent Inc
  Horsham, PA
• 12/2016 → 01/2021
  Td Ameritrade
  Houston, TX
• 01/2021 → Present
  Raymond James & Associates Inc
  Houston, TX

Previous Registrations

• 2017-01-31 → 2021-01-11
  Td Ameritrade, Inc.
  Houston, TX
• 2017-01-31 → 2020-12-31
  Td Ameritrade Investment Management, Llc
  Houston, TX

Other Businesses

(1)Name of Business: Wildflower Winds Address: 5510 S Rice Ave, Houston, TX, 77081, United States Activity Type: Other Position/Title: Musician Investment Related: No Start Date: 03/03/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Musician in a flute trio. Responsibility is to perform live music at various venues on a "gig" basis. Venues may include local retirement homes, music festivals, weddings, etc. The flute trio has nothing to do with RJ.

Exams

• S66 Uniform Combined State Law Examination
  2017-01-30

Other Names

• Michael Nguyen
• Michael-Duy Nguyen