Tu T. Nguyen

SIERRA PACIFIC FINANCIAL ADVISORS

Pleasanton, CA 94566

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CRD#: 7645641

Professional summary

Tu Thien Nguyen is a registered financial advisor currently at SIERRA PACIFIC FINANCIAL ADVISORS located in Pleasanton, California.

Tu is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Tu has worked at 3 firms .

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tu Thien 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

October 13, 2025 - Present

SIERRA PACIFIC FINANCIAL ADVISORS

Office #1: 7077 Koll Center Parkway Suite 120, Pleasanton, CA 94566

RIA

CRD#: 131738

Pleasanton, CA

Past

April 16, 2025 - September 26, 2025

DAE WEALTH MANAGEMENT

RIA

CRD#: 324692

Council Bluffs, IA

Past

October 17, 2022 - June 28, 2024

CALLAHAN FINANCIAL PLANNING

RIA

CRD#: 314571

Elk Grove, 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".

SIERRA PACIFIC FINANCIAL ADVISORS

SIERRA FINANCIAL ADVISORS | WAN, ZHENG | SIERRA PACIFIC PRIVATE WEALTH, LLC | SIERRA PACIFIC FINANCIAL ADVISORS, LLC | SIERRA PACIFIC FINANCIAL ADVISORS

CRD#: 131738 / SEC#: 801-123728

RIA

Registered Investment Advisory firm - (11/28/2022 Approved)

California

Registered Investment Advisory firm - (12/30/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(10/13/2025)

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

Current Firm

SIERRA PACIFIC FINANCIAL ADVISORS

SIERRA FINANCIAL ADVISORS | WAN, ZHENG | SIERRA PACIFIC PRIVATE WEALTH, LLC | SIERRA PACIFIC FINANCIAL ADVISORS, LLC | SIERRA PACIFIC FINANCIAL ADVISORS

CRD#: 131738 / SEC#: 801-123728

RIA

Registered Investment Advisory firm - (11/28/2022 Approved)

California

Registered Investment Advisory firm - (12/30/2022 Terminated)

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Contact information

Main Address

7077 Koll Center Parkway Suite 120, Pleasanton, CA 94566

Mailing Address

Phone number

(925) 223-8868

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIERRA PACIFIC FINANCIAL ADVISORS, LLC - PART A (1/28/2026)

Regulatory assets under management

Total Number of Accounts	403
AUM (Assets Under Management)	$ 212,673,000

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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Tu T. Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SIERRA PACIFIC FINANCIAL ADVISORS

DAE WEALTH MANAGEMENT

CALLAHAN FINANCIAL PLANNING

Primary Firm SEC Registration

SIERRA PACIFIC FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Current Firm

SIERRA PACIFIC FINANCIAL ADVISORS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIERRA PACIFIC FINANCIAL ADVISORS

TRUST BUT VERIFY

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