Brian Nguyen has been an investment adviser representative at Twin Peaks Wealth Advisors since December 2022, and is not listed among the firm’s executive officers or direct owners.
Twin Peaks Wealth Advisors, LLC is a firm with $585M under management, 431 clients and 9 advisers across 4 offices, as of its September 2026 filing.
Brian Nguyen’s longest registration was 5 years at Sorrento Pacific Financial, LLC (2011–2016). Before joining Twin Peaks Wealth Advisors in 2022, Brian Nguyen was registered through Investor Fan and LPL Financial LLC.
- Twin Peaks Wealth AdvisorsCurrent– present · 3 yearsNewark, CA · Adviser representative · Firm CRD 323817
- Investor Fan– · 1 yearNewark, CA · Adviser representative · Firm CRD 159301
- LPL Financial LLC– · 4 yearsFremont, CA · Adviser representative · Firm CRD 6413
- Sorrento Pacific Financial, LLC– · 5 yearsFremont, CA · Adviser representative · Firm CRD 127787
- Uvest Financial Services Group, Inc.– · under a yearFremont, CA · Adviser representative · Firm CRD 13787
Investment adviser representative registrations
Brian Nguyen is registered as an investment adviser representative in 2 states. The first approvals date from December 2022; the most recent is Texas, in January 2024.
- CaliforniaSince 15 December 2022
- TexasSince 10 January 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 6 April 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 December 2007 |
| Series 7 | General Securities Representative Examination | 16 November 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Brian Dat Nguyen
- CRD
- 5411154
- Firm
- Twin Peaks Wealth Advisors · CRD 323817
- Office
- 3900 Newpark Mall Road, Suite 331, Newark, CA 94560
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 2008
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Brian Nguyen work?
Brian Nguyen is an investment adviser representative registered through Twin Peaks Wealth Advisors, LLC since December 2022, and is not listed among the firm’s executive officers or direct owners.
Is Brian Nguyen a financial advisor?
Yes. Brian Nguyen has a current investment-adviser registration in California and Texas, through Twin Peaks Wealth Advisors since December 2022.
How many years of experience does Brian Nguyen have?
Brian Nguyen has 18 years in the financial industry, since January 2008, across 5 adviser firms.
What exams has Brian Nguyen passed?
Brian Nguyen has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in November 2007. FINRA credited Brian Nguyen with the SIE, which began in October 2018.
Where did Brian Nguyen work before Twin Peaks Wealth Advisors?
Before Twin Peaks Wealth Advisors, Brian Nguyen was registered through LPL Financial LLC, November 2016 to November 2021; Sorrento Pacific Financial, LLC, May 2011 to November 2016; Uvest Financial Services Group, Inc., April 2011 to May 2011.
Where is Brian Nguyen based?
Brian Nguyen’s registered office is in Newark, CA.
Is Brian Nguyen registered with FINRA?
Yes. Brian Nguyen has a current broker registration, under CRD 5411154.
Source: FINRA BrokerCheck
How can I verify Brian Nguyen’s record?
Search CRD 5411154 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Brian Nguyen’s full registration record.