Tri D Nguyen

CRD 2918047 · Morgan Stanley · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: Mark Nguyen; Tri Duy Nguyen

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 63Series 10Series 9Series 4Series 24SIESeries 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 29
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (19)

From the source registration record · current first

Morgan StanleyCurrent
San Francisco, CA · IA capacity

Sep 8, 2023 → present
Empower Financial Services, Inc.
BD capacity

Aug 12, 2022 → Aug 31, 2023
Empower Advisory Group, LLC
IA capacity

Aug 12, 2022 → Aug 31, 2023
Alders Financial Solutions
IA capacity

Nov 9, 2020 → Aug 5, 2022
Lpl Financial LLC
BD capacity

May 5, 2020 → Apr 11, 2022
Lpl Financial LLC
IA capacity

May 5, 2020 → Apr 11, 2022
Cuso Financial Services, L.P.
BD capacity

Dec 18, 2018 → Apr 15, 2020
Cuso Financial Services, L.P.
IA capacity

Dec 18, 2018 → Apr 15, 2020
Td Ameritrade, Inc.
BD capacity

Feb 26, 2018 → Apr 2, 2018
Scottrade Investment Management
IA capacity

Sep 28, 2016 → Apr 2, 2018
Scottrade, Inc.
BD capacity

Nov 7, 2012 → Feb 26, 2018
J.P. Morgan Securities LLC
BD capacity

Oct 1, 2012 → Oct 17, 2012
J.P. Morgan Securities LLC
IA capacity

Oct 1, 2012 → Oct 17, 2012
Chase Investment Services Corp.
BD capacity

Nov 24, 2010 → Oct 1, 2012
Chase Investment Services Corp.
IA capacity

Nov 24, 2010 → Oct 1, 2012
Amerivest Investment Management, LLC
IA capacity

Apr 24, 2006 → Apr 7, 2010
Td Ameritrade, Inc.
IA capacity

Nov 7, 2003 → Apr 7, 2010
Td Ameritrade, Inc.
BD capacity

Jan 15, 2002 → Apr 7, 2010
E*trade Securities, Incorporated
BD capacity

Oct 16, 1997 → Aug 31, 2001

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 2918047 ↗ FINRA BrokerCheck record for CRD 2918047 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.