Dang J. Nguyen

MIDWEST PROFESSIONAL PLANNERS, LTD.

WAUSAU, WI 54401

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CRD#: 4161696

Professional summary

Dang Jeremiah Tu Nguyen, who also goes by Dan Nguyen, Dang J Nguyen, is a registered financial advisor currently at MIDWEST PROFESSIONAL PLANNERS, LTD. located in Wausau, Wisconsin.

Dang is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Dang has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Nguyen | Dang J Nguyen

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 Dang Jeremiah Tu 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

June 3, 2003 - Present

MIDWEST PROFESSIONAL PLANNERS, LTD.

Office #1: 2610 Stewart Avenue, Suite 100 , Wausau, WI 54401

RIA

CRD#: 112995

WAUSAU, WI

Past

August 2, 2001 - October 3, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

May 30, 2000 - August 16, 2001

WMA SECURITIES, INC.

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".

MIDWEST PROFESSIONAL PLANNERS, LTD.

MIDWEST PROFESSIONAL PLANNERS, LTD. | MPPL FINANCIAL (DBA ONLY) | MPPL FINANCIAL

CRD#: 112995 / SEC#: 801-72649

RIA

Registered Investment Advisory firm - (8/24/2011 Approved)

Florida

Registered Investment Advisory firm - (8/29/2011 Terminated)

Illinois

Registered Investment Advisory firm - (8/24/2011 Terminated)

Minnesota

Registered Investment Advisory firm - (8/29/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2011 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.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(6/3/2003)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/24/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/25/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/26/2000

General Securities Representative Examination

Current Firm

MIDWEST PROFESSIONAL PLANNERS, LTD.

MIDWEST PROFESSIONAL PLANNERS, LTD. | MPPL FINANCIAL (DBA ONLY) | MPPL FINANCIAL

CRD#: 112995 / SEC#: 801-72649

RIA

Registered Investment Advisory firm - (8/24/2011 Approved)

Florida

Registered Investment Advisory firm - (8/29/2011 Terminated)

Illinois

Registered Investment Advisory firm - (8/24/2011 Terminated)

Minnesota

Registered Investment Advisory firm - (8/29/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2011 Terminated)

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Contact information

Main Address

2610 Stewart Avenue, Suite 100, Wausau, WI 54401

Mailing Address

Phone number

(715) 848-3474

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (3/2/2026)

Regulatory assets under management

Total Number of Accounts	2,726
AUM (Assets Under Management)	$ 649,341,666

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.

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Dang J. Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dang Jeremiah Tu Nguyen's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIDWEST PROFESSIONAL PLANNERS, LTD.

EQUITABLE ADVISORS, LLC

WMA SECURITIES, INC.

Primary Firm SEC Registration

MIDWEST PROFESSIONAL PLANNERS, LTD.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2001

Series 63

Date: 5/25/2000

Series 7

Date: 5/26/2000

Current Firm

MIDWEST PROFESSIONAL PLANNERS, LTD.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIDWEST PROFESSIONAL PLANNERS, LTD.

TRUST BUT VERIFY

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