Anh Thicam Nguyen

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 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:

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-06-15
CA	RA	APPROVED	2010-08-03

TX RA
APPROVED

Since 2021-06-15
CA RA
APPROVED

Since 2010-08-03

Branch Locations

1920 Main St Ste 700, Irvine, CA 92614 • 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
Principal Life Ins Co	Irvine	CA	07/2010	Present
Principal Securities Inc	Irvine	CA	03/2016	Present

07/2010 → Present

Principal Life Ins Co

Irvine, CA
03/2016 → Present

Principal Securities Inc

Irvine, CA

Previous Registrations

1998-11-19 → 2010-07-29

Ameriprise Financial Services, Llc

Irvine, CA

Irvine, CA

Irvine, CA

Other Businesses

***OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, FIXED ANNUITIES, LONG TERM CARE INSURANCE AND DISABILITY INSURANCE THROUGH VARIOUS CARRIERS, 11/05/14.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-11-13
S63	Uniform Securities Agent State Law Examination	1998-09-11

S65 Uniform Investment Adviser Law Examination

1998-11-13
S63 Uniform Securities Agent State Law Examination

1998-09-11

Designations

Certified Financial Planner

Other Names

Anh Thicam Nguyen

View on SEC IAPD