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James Minh duc Nguyen

Charles Schwab & CO., Inc.

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About James Minh duc Nguyen

James Nguyen is a registered representative with Charles Schwab & CO., Inc. James has been in the financial services industry since March 26, 2012. James holds Series 63, 66, 7, 86, and 87 securities licenses. James is also registered as an Investment Advisor Representative in Texas. James has previous experience with Gallatin Capital LLC, Wachovia Capital Markets, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James also owns a rental property in Austin, Texas.

Firm Information

James 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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James Nguyen’s Registration & Firm History

TX

01/12/2017 - Present

Charles Schwab & CO., Inc. (Austin TX)

NY

11/20/2014 - 02/18/2015

GALLATIN CAPITAL LLC (NEW YORK NY)

NY

12/16/2004 - 07/03/2006

WACHOVIA CAPITAL MARKETS, LLC (NEW YORK NY)

NY

08/25/1994 - 07/10/1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 01/12/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/18/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/20/2014

Series 7 - General Securities Representative Examination

BC

Issued 02/14/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/07/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Minh duc Nguyen.
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