AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MN

Maria U. Nguyen

PRINCIPAL ADVISED SERVICES
TORRANCE, CA
Some features on this profile are disabled
CRD#: 6271731
MN

Professional summary

Maria Uyen Nguyen, who also goes by Maria U Nguyen, Maria Nguyen, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Torrance, California and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.

Maria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Maria has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Maria U Nguyen | Maria 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 Maria Uyen 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

May 4, 2026 - Present

PRINCIPAL ADVISED SERVICES

RIA
CRD#: 297324
TORRANCE, CA
Current

April 17, 2024 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 711 High St, Des Moines, IA 50392
RIA
BD
CRD#: 1137
DES MOINES, IA
Past

April 9, 2025 - April 21, 2026

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
Torrance, CA
Past

April 20, 2022 - May 8, 2024

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

May 7, 2018 - May 8, 2024

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

August 13, 2014 - February 13, 2018

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
El Segundo, CA
Past

December 9, 2013 - August 13, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
TORRANCE, 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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA
Registered Investment Advisory firm - (12/14/2018 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
California
(4/17/2024)
IAR
California
(5/4/2026)
RR
Iowa
(4/17/2024)
IAR
Iowa
(5/4/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/8/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/18/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/29/2019
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/3/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/9/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/19/2019
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA
Registered Investment Advisory firm - (12/14/2018 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PRINCIPAL ADVISED SERVICES FORM ADV 2A WRAP FEE BROCHURE (1/2/2026)
PRINCIPAL ADVISED SERVICES TARGET MY RETIREMENT ADV PART 2A BROCHURE (1/2/2026)
PAS ADV 2A ADVICE BROCHURE (1/2/2026)

Regulatory assets under management

Total Number of Accounts16,940
AUM (Assets Under Management)$ 887,316,440

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/26/2025
Cover Page
Report
10/28/2024
Cover Page
Report
11/20/2023
Cover Page
Report
09/22/2023
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.

Company Information

PRINCIPAL ADVISED SERVICES

CRD#: 297324Torrance, CA

TRUST BUT VERIFY

Monitor Maria Nguyen

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.