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Ha Thi Nguyen

Charles Schwab & CO., Inc.

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About Ha Thi Nguyen

Ha Thi Nguyen is a financial professional with over 14 years of experience in the securities industry. Ha is currently registered with Charles Schwab & Co., Inc. in Colorado and California. Ha holds several industry licenses including Series 7, Series 10, Series 24 and Series 63. Ha is also licensed to provide investment advisory services. Ha specializes in providing a variety of financial services, including financial planning, and investment advisory.

Firm Information

Ha Nguyen is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Ha Nguyen’s Registration & Firm History

CO

04/17/2009 - Present

Charles Schwab & CO., Inc. (Lone Tree CO)

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Licenses & Designations

BC

Issued 05/18/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/04/2023

Series 24 - General Securities Principal Examination

BC

Issued 05/26/2018

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/09/2017

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/16/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Ha Thi Nguyen.
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