Alton Tran Nguyen
Investment adviser representative at LPL Financial LLC
14 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 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
- Seminars and workshops
Experience
14 years in the industry.
- LPL Financial LLCJan 2026 to now
- Arizona State UniversitySep 2023 to now
- The Vanguard Group, Inc.May 2025 to Dec 2025
- Vanguard Marketing CorporationMay 2025 to May 2025
- Panera BreadAug 2023 to Dec 2023
- Glendale Community CollegeSep 2022 to Sep 2023
- Valley Vista HighschoolSep 2018 to Jun 2022
- Westpoint Elementary SchoolJul 2012 to Jul 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2025
- Series 65 · Uniform Investment Adviser Law2026
State registrations
Registered as an investment adviser representative in 1 state (AZ).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 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
- 8070080
- Firm CRD
- 6413