MN
Mai L. Nguyen
CETERA INVESTMENT ADVISERS LLC
NEWPORT BEACH, CA 92660
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CRD#: 2852314
MN
Professional summary
Mai Le Nguyen, CFP®, who also goes by Mai Le Tran, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newport Beach, California and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.
Mai is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Mai has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mai Le Tran
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.
1. FOUNTAIN VALLEY BOYS BASKETBALL BOOSTER CLUB POSITION: Volunteer NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/31/2021 ADDRESS: 18030 Brookhurst St. #404, Fountain Valley CA 92708, United States DESCRIPTION: Will be VP of fundraising. Help with setting up fundraising events; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2023; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE; 3. NAME OF OTHER BUSINESS: TAX AND FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: MLN ADVISORY LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 08/2025, POSITION/TITLE/RELATIONSHIP: SINGLE MEMBER OWNER (S CORP), APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 8, BRIEF DESCRIPTION OF DUTIES: S CORP TO PAY MY INVESTMENT COMMISSIONS TO MANAGE EXPENSES AND TAXES;
CRS (Client Relationship Summary) - RIA
Click below to view Mai Le Nguyen's 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®
CFP®
Start date: 2021
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4001 Macarthur Blvd Ste 300, Newport Beach, CA 92660RIA
CRD#: 105644
NEWPORT BEACH, CA
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4001 Macarthur Blvd. 3rd Floor, Newport Beach, CA 92660BD
CRD#: 13572
Newport Beach, CA
Past
July 15, 2008 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
NEWPORT BEACH, CA
Past
July 11, 2008 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
NEWPORT BEACH, CA
Past
May 1, 2002 - June 20, 2008
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
FOUNTAIN VALLEY, CA
Past
April 18, 2002 - June 20, 2008
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
FOUNTAIN VALLEY, CA
Past
November 8, 2001 - April 23, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
November 8, 2001 - April 23, 2002
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
November 4, 1997 - November 5, 2001
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
May 12, 1997 - September 23, 1997
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
ANAHEIM, CA
Past
February 27, 1997 - July 22, 1997
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
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
RR
Arizona(8/10/2023)
RR
California(8/10/2023)
IAR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Florida(8/11/2023)
RR
Idaho(2/10/2025)
RR
Nevada(8/10/2023)
RR
Oregon(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(3/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
