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Detailed Report
NANCY H TRIEU
CRD#: 4956576
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Investment Adviser
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Previous Broker
SVB ASSET MANAGEMENTCRD#: 124567 200 SPECTRUM CENTER DRIVE
SUITE 1420
IRVINE, CA 92618
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2009 (1 year)IASVB ASSET MANAGEMENT (CRD# 124567)2010 - Present (14 years)BSVB SECURITIES, A NON-BANK AFF... (CRD# 46902)2010 - 2019 (8 years)
License(s)

State Registrations

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California 11/2/2010
Current Registration(s)
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SVB ASSET MANAGEMENT (CRD#:124567)
200 SPECTRUM CENTER DRIVE SUITE 1420, IRVINE, CA 92618
Registered with this firm since 11/2/2010
Previous Registration(s)
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 11/02/2010 - 06/25/2019 SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK (CRD#:46902) SAN FRANCISCO, CA
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 04/11/2008 - 12/01/2009 BARCLAYS GLOBAL FUND ADVISORS (CRD#:105247) SAN FRANCISCO, CA
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 04/11/2008 - 12/01/2009 BARCLAYS GLOBAL INVESTORS SERVICES (CRD#:39438) SAN FRANCISCO, CA
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 03/07/2007 - 03/12/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEWPORT BEACH, CA
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 01/30/2007 - 03/12/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEWPORT BEACH, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.