Jonathan D. Nguyen

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CRD#: 5734584

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jonathan D Nguyen, who also goes by Jonathan Dang Nguyen, was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 2011. Jonathan had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jonathan Dang 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 28, 2019 - January 18, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

JERSEY CITY, NJ

Past

March 26, 2019 - January 18, 2024

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

JERSEY CITY, NJ

Past

February 20, 2015 - May 9, 2017

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

HAMILTON, NJ

Past

February 19, 2015 - May 9, 2017

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

HAMILTON, NJ

Past

May 9, 2014 - December 24, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MOORESTOWN, NJ

Past

May 7, 2014 - December 24, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MOORESTOWN, NJ

Past

May 6, 2013 - April 29, 2014

SANTANDER SECURITIES LLC

CRD#: 41791

PRINCETON, NJ

Past

March 16, 2012 - September 7, 2012

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

RICHMOND, VA

Past

November 5, 2011 - March 21, 2012

MML INVESTORS SERVICES, LLC

CRD#: 10409

HORSHAM, PA

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".

CETERA INVESTMENT ADVISERS LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/7/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/28/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/4/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Jonathan D. Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

SANTANDER SECURITIES LLC

ALLIED BEACON PARTNERS, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/7/2013

Series 63

Date: 2/28/2012

SIE

Date: 5/9/2017

Series 7

Date: 6/1/2012

Series 6

Date: 11/4/2011

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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