Nancy H. Trieu

SVB ASSET MANAGEMENT

IRVINE, CA 92618

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CRD#: 4956576

Professional summary

Nancy H Trieu is a registered financial advisor currently at SVB ASSET MANAGEMENT located in Irvine, California.

Nancy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Nancy has worked at 5 firms and has passed the Series 66, SIE 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.

Rental Property 1, Position: Owner; Nature: property owner for tenant(s); non-investment related; Number of hours: 0-2; Trading Hours: 0; Start Date: 2023 Address: Residential Address on file, New York, New York, United States Description: Owner of rental property. Rental Property 2 Position: Owner; Nature: property owner for tenant(s); non-investment related; Number of hours: 0-2; Trading Hours: 0; Start Date: 2025 Address: Residential Address on file, Huntington Beach, California, United States Description: Owner of rental property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy H Trieu'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®

None

Experience

Current

November 2, 2010 - Present

SVB ASSET MANAGEMENT

Office #1: 200 Spectrum Center Drive Suite 300, Irvine, CA 92618

RIA

CRD#: 124567

IRVINE, CA

Past

November 2, 2010 - June 25, 2019

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

CRD#: 46902

SAN FRANCISCO, CA

Past

April 11, 2008 - December 1, 2009

BLACKROCK FUND ADVISORS

RIA

CRD#: 105247

SAN FRANCISCO, CA

Past

April 11, 2008 - December 1, 2009

BLACKROCK EXECUTION SERVICES

CRD#: 39438

SAN FRANCISCO, CA

Past

March 7, 2007 - March 12, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEWPORT BEACH, CA

Past

January 30, 2007 - March 12, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEWPORT BEACH, CA

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".

SVB ASSET MANAGEMENT

CRD#: 124567 / SEC#: 801-61674

RIA

Registered Investment Advisory firm - (1/2/2003 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.

Highlighted states indicate IAR registrations

IAR

California
(11/2/2010)

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: 2/26/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/2007

General Securities Representative Examination

Current Firm

SVB ASSET MANAGEMENT

CRD#: 124567 / SEC#: 801-61674

RIA

Registered Investment Advisory firm - (1/2/2003 Approved)

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Contact information

Main Address

222 2nd Street, San Francisco, CA 94105

Mailing Address

Phone number

(866) 719-9117

Established

Firm type

Fiscal year end

# of Employees

104

SEC notice filing (20 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SVB ASSET MANAGEMENT FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	523
AUM (Assets Under Management)	$ 32,960,320,956

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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Firm Stability Insights

Nancy H. Trieu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy H Trieu's CRS (Customer Relationship Summary).

Certified licenses

Experience

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

BLACKROCK FUND ADVISORS

BLACKROCK EXECUTION SERVICES

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SVB ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 2/26/2007

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2007

Current Firm

SVB ASSET MANAGEMENT

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SVB ASSET MANAGEMENT

TRUST BUT VERIFY

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