Tri D Nguyen
Investment adviser representative at Morgan Stanley
14 yearsExperience
2 statesRegistered in
$2TFirm assets
17 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissionsPerformance-basedOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
14 years in the industry.
- Morgan StanleyAug 2023 to now
- Gwfs Equities, IncJul 2022 to Aug 2023
- UnemployedMar 2022 to Jul 2022
- Alders Financial SolutionsMay 2020 to Mar 2022
- LPL Financial, LLCMay 2020 to Mar 2022
- Cuso Financial Services, LPDec 2018 to Apr 2020
- Redwood Credit UnionDec 2018 to Apr 2020
- UnemployedApr 2018 to Dec 2018
- TD Ameritrade, Inc.Feb 2018 to Mar 2018
- Scottrade, Inc.Oct 2012 to Mar 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law1997
- Series 66 · Uniform Combined State Law2003
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
Morgan Stanley
Legal name: Morgan Stanley Smith Barney LLC
$2TAssets managed
2,703,720Clients
23,165Advisers
17 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2918047
- Firm CRD
- 149777