Stephen T. Nguyen

TWIN PEAKS WEALTH ADVISORS

Milpitas, CA

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CRD#: 7523132

Professional summary

Stephen Tuan Tu Nguyen is a registered financial advisor currently at TWIN PEAKS WEALTH ADVISORS located in Milpitas, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Stephen has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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) 5/2022- Real Estate Rental- property owner- inv. related- 5455 Eagles Ln #4 San Jose, CA 95123- start date 8/2011- 0hrs

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Tuan Tu 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

December 20, 2022 - Present

TWIN PEAKS WEALTH ADVISORS

RIA

CRD#: 323817

Milpitas, CA

Past

July 8, 2022 - November 21, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

MILPITAS, CA

Past

May 16, 2022 - November 21, 2022

LPL FINANCIAL LLC

CRD#: 6413

MILPITAS, 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.

Highlighted states indicate IAR registrations

IAR

California
(12/20/2022)

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: 7/7/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/16/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/2/2022

Securities Industry Essentials Examination

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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Stephen T. Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Tuan Tu Nguyen's CRS (Customer Relationship Summary).

Certified licenses

Experience

TWIN PEAKS WEALTH ADVISORS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

TWIN PEAKS WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/7/2022

Series 7TO

Date: 5/16/2022

SIE

Date: 4/2/2022

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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