Tom Nguyen
Investment adviser representative at Mariner
15 yearsExperience
1 stateRegistered in
$125.4BFirm assets
20 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 assetsHourlyFixed or flat fee
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
15 years in the industry.
- MarinerMar 2025 to now
- Bank of America, N.A.Mar 2023 to Mar 2025
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 2023 to Mar 2025
- Unionbanc Investment ServicesAug 2020 to Jan 2023
- Morgan Stanley Private Bank, N.AAug 2019 to Sep 2020
- Morgan StanleyAug 2019 to Aug 2020
- Charles Schwab BankJul 2015 to Aug 2019
- Real Estate On Dora Street LLCMay 2015 to Aug 2019
- Charles Schwab & Co., IncJan 2011 to Aug 2019
Exams passed
- Series 63 · Uniform Securities Agent State Law2015
- Series 65 · Uniform Investment Adviser Law2016
State registrations
Registered as an investment adviser representative in 1 state (AZ).
Mariner
Legal name: Mariner, LLC
$125.4BAssets managed
55,512Clients
991Advisers
20 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
- 5762817
- Firm CRD
- 140195