Nick Nguyen

UMB ASSET MANAGEMENT

KANSAS CITY, MO 64106

Some features on this profile are disabled

CRD#: 7439559

Professional summary

Nick Nguyen, who also goes by Nick Man Minh Nguyen, is a registered financial advisor currently at UMB ASSET MANAGEMENT, LLC located in Kansas City, Missouri.

Nick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Nick has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Man Minh 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 Nick 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 13, 2026 - Present

UMB ASSET MANAGEMENT, LLC

Office #1: 1010 Grand 3rd Floor, Kansas City, MO 64106

RIA

CRD#: 306374

KANSAS CITY, MO

Past

June 3, 2022 - December 2, 2025

KEEN WEALTH ADVISORS

RIA

CRD#: 170293

OVERLAND PARK, KS

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".

UMB ASSET MANAGEMENT, LLC

UMB ASSET MANAGEMENT, LLC | UMB FAMILY WEALTH, LLC

CRD#: 306374 / SEC#: 801-117738

RIA

Registered Investment Advisory firm - (12/5/2019 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

Missouri
(5/13/2026)

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 65

Date: 4/29/2022

Uniform Investment Adviser Law Examination

Current Firm

UMB ASSET MANAGEMENT, LLC

UMB ASSET MANAGEMENT, LLC | UMB FAMILY WEALTH, LLC

CRD#: 306374 / SEC#: 801-117738

RIA

Registered Investment Advisory firm - (12/5/2019 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

1010 Grand 3rd Floor, Kansas City, MO 64106

Mailing Address

Phone number

(816) 860-7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UMB ASSET MANAGEMENT LLC - PART 2A (6/30/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 47,495,486

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.

Similar Advisors

Franklin Little

NYLIFE SECURITIES LLC

MOBILE, AL

Alan Brockhaus

RITHOLTZ WEALTH MANAGEMENT

IAR

New Orleans, LA

Mark Geraci

LPL FINANCIAL LLC

IAR

Crystal Lake, IL

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nick Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

UMB ASSET MANAGEMENT, LLC

KEEN WEALTH ADVISORS

Primary Firm SEC Registration

UMB ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/2022

Current Firm

UMB ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UMB ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors