Brian D. Nguyen

TWIN PEAKS WEALTH ADVISORS

Newark, CA 94560

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CRD#: 5411154

Professional summary

Brian Dat Nguyen, CFP® is a registered financial advisor currently at TWIN PEAKS WEALTH ADVISORS located in Newark, California and PURSHE KAPLAN STERLING INVESTMENTS located in Newark, California.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 8 firms and has passed the Series 65, Series 63, 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.

1) Twin Peaks Wealth Advisors. Investment Related. 3900 NewPark Mall Rd Suite #331 Newark, CA 94560. RIA. Investment Advisor Representative. 12/01/2022. Hrs/month 160 all during trading hours. 2) Self. Investment Related. 3900 NewPark Mall Rd Suite #331 Newark, CA 94560. - Non-Variable Insurance - Agent - Start Date: 12/27/2022 - 10 Hours Per Month/0 Hour During Securities Trading. 3) IMO Insurance Brokerage. Investment Related. 3900 NewPark Mall Rd Suite #331 Newark, CA 94560. - Fixed/Index Annuities - Agent - 12/27/2022 - 10 Hours Per Month/0 Hour During Securities Trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Dat 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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

December 15, 2022 - Present

TWIN PEAKS WEALTH ADVISORS

Office #1: 3900 Newpark Mall Road, Suite 331, Newark, CA 94560

RIA

CRD#: 323817

Newark, CA

Current

January 9, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 3900 New Park Mall Road Suite 331, Newark, CA 94560

CRD#: 35747

Newark, CA

Past

November 18, 2021 - January 17, 2023

INVESTOR FAN

RIA

CRD#: 159301

Newark, CA

Past

November 15, 2016 - November 12, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

FREMONT, CA

Past

November 15, 2016 - November 12, 2021

LPL FINANCIAL LLC

CRD#: 6413

FREMONT, CA

Past

May 19, 2011 - November 15, 2016

SORRENTO PACIFIC FINANCIAL, LLC

RIA

CRD#: 127787

FREMONT, CA

Past

May 18, 2011 - November 15, 2016

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

FREMONT, CA

Past

April 7, 2011 - May 23, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

FREMONT, CA

Past

February 23, 2011 - May 23, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

FREMONT, CA

Past

January 15, 2008 - February 9, 2011

NYLIFE SECURITIES LLC

CRD#: 5167

SAN JOSE, CA

Past

November 19, 2007 - December 10, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SAN JOSE, 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".

TWIN PEAKS WEALTH ADVISORS

TWIN PEAKS WEALTH ADVISORS | TWIN PEAKS WEALTH ADVISORS, LLC

CRD#: 323817 / SEC#: 801-126874

RIA

Registered Investment Advisory firm - (11/10/2022 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.

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
(1/9/2023)

IAR

California
(12/15/2022)

California
(1/9/2023)

Colorado
(1/9/2023)

Idaho
(1/9/2023)

Nevada
(1/9/2023)

New York
(10/24/2024)

Oklahoma
(10/24/2024)

Texas
(1/9/2023)

IAR

Texas
(1/10/2024)

Utah
(1/9/2023)

Washington
(1/9/2023)

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: 4/6/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/13/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TWIN PEAKS WEALTH ADVISORS

TWIN PEAKS WEALTH ADVISORS | TWIN PEAKS WEALTH ADVISORS, LLC

CRD#: 323817 / SEC#: 801-126874

RIA

Registered Investment Advisory firm - (11/10/2022 Approved)

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Contact information

Main Address

San Francisco, CA

Mailing Address

Phone number

(650) 200-0308

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (6/5/2025)

Regulatory assets under management

Total Number of Accounts	1,592
AUM (Assets Under Management)	$ 410,400,224

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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Advisor Monitoring

Firm Stability Insights

Brian D. Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Dat Nguyen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

INVESTOR FAN

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SORRENTO PACIFIC FINANCIAL, LLC

SORRENTO PACIFIC FINANCIAL, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

NYLIFE SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

TWIN PEAKS WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/2011

Series 63

Date: 12/13/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/16/2007

FINRA

Current Firm

TWIN PEAKS WEALTH ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TWIN PEAKS WEALTH ADVISORS

TRUST BUT VERIFY

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