Tuan M. Nguyen

HUNTLEIGH ADVISORS

Houston, TX 77027

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CRD#: 2734571

Professional summary

Tuan Manh Nguyen is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in Houston, Texas and HUNTLEIGH SECURITIES CORPORATION located in Houston, Texas.

Tuan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Tuan has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tuan Manh Nguyen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 6, 2020 - Present

HUNTLEIGH ADVISORS, INC.

Office #1: 1800 West Loop South Suite 1980, Houston, TX 77027

RIA

CRD#: 113412

Houston, TX

Current

May 4, 2020 - Present

HUNTLEIGH SECURITIES CORPORATION

Office #1: 1800 West Loop South Suite 1105, Houston, TX 77027

CRD#: 7456

Houston, TX

Past

May 4, 2020 - May 4, 2020

HUNTLEIGH ADVISORS, INC.

RIA

CRD#: 113412

ST. LOUIS, MO

Past

May 6, 2013 - May 7, 2020

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

HOUSTON, TX

Past

May 6, 2013 - May 7, 2020

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

HOUSTON, TX

Past

June 1, 2010 - May 31, 2013

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

HOUSTON, TX

Past

June 1, 2010 - May 31, 2013

HILLTOP SECURITIES INC.

CRD#: 6220

HOUSTON, TX

Past

May 15, 2007 - June 4, 2010

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

HOUSTON, TX

Past

May 15, 2007 - June 4, 2010

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

HOUSTON, TX

Past

October 20, 2004 - May 15, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

HOUSTON, TX

Past

October 20, 2004 - May 15, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

HOUSTON, TX

Past

May 4, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

HOUSTON, TX

Past

May 4, 2004 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

January 14, 2003 - May 12, 2004

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

HOUSTON, TX

Past

January 14, 2003 - May 12, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

May 14, 2001 - September 11, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

May 14, 2001 - September 11, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 16, 2001 - May 16, 2001

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

May 29, 1996 - March 5, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/4/2020)

IAR

Arizona
(7/1/2020)

California
(5/4/2020)

IAR

California
(7/1/2020)

Colorado
(5/6/2020)

IAR

Colorado
(7/2/2020)

Georgia
(5/4/2020)

IAR

Georgia
(7/7/2020)

Louisiana
(6/1/2020)

Ohio
(5/13/2022)

IAR

Ohio
(5/13/2022)

South Carolina
(5/4/2020)

IAR

South Carolina
(7/20/2020)

Texas
(5/6/2020)

IAR

Texas
(5/6/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/6/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/14/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/28/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

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Contact information

Main Address

7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

Mailing Address

Phone number

(314) 236-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,628
AUM (Assets Under Management)	$ 626,466,687

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Tuan M. Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tuan Manh Nguyen's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTLEIGH SECURITIES CORPORATION

HUNTLEIGH ADVISORS, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CHASE INVESTMENT SERVICES CORP.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HUNTLEIGH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/1996

Series 63

Date: 6/4/1996

SIE

Date: 10/1/2018

Series 31

Date: 6/14/1996

Series 7

Date: 5/28/1996

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HUNTLEIGH ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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