Stephen 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.
Stephen Nguyen’s longest registration is the current one, 3 years at Twin Peaks Wealth Advisors since 2022. Before joining Twin Peaks Wealth Advisors in 2022, Stephen Nguyen was registered through LPL Financial LLC.
- Twin Peaks Wealth AdvisorsCurrent– present · 3 yearsMilpitas, CA · Adviser representative · Firm CRD 323817
- LPL Financial LLC– · under a yearMilpitas, CA · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Stephen Nguyen is registered as an investment adviser representative in California, since December 2022.
- CaliforniaSince 20 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 7 July 2022 |
| Series 7TO | General Securities Representative Examination | 16 May 2022 |
| SIE | Securities Industry Essentials Examination | 2 April 2022 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Stephen Tuan Tu Nguyen
- CRD
- 7523132
- Firm
- Twin Peaks Wealth Advisors · CRD 323817
- Office
- Milpitas, CA
- Registration
- Investment adviser registration
- In the industry since
- June 2022
- Disciplinary history
- Not yet shown here · SEC record
Where does Stephen Nguyen work?
Stephen 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 Stephen Nguyen a financial advisor?
Yes. Stephen Nguyen has a current investment-adviser registration in California, through Twin Peaks Wealth Advisors since December 2022.
How many years of experience does Stephen Nguyen have?
Stephen Nguyen has 4 years in the financial industry, since June 2022, across 2 adviser firms.
What exams has Stephen Nguyen passed?
Stephen Nguyen has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in April 2022.
Where did Stephen Nguyen work before Twin Peaks Wealth Advisors?
Before Twin Peaks Wealth Advisors, Stephen Nguyen was registered through LPL Financial LLC, July 2022 to November 2022.
Where is Stephen Nguyen based?
Stephen Nguyen’s registered office is in Milpitas, CA.
Is Stephen Nguyen registered with FINRA?
No. Stephen Nguyen has no current broker registration.
How can I verify Stephen Nguyen’s record?
Search CRD 7523132 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Nguyen’s full registration record.