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Kathy Thi Nguyen

Charles Schwab & CO., Inc.

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About Kathy Thi Nguyen

Kathy Nguyen is a financial professional with over 7 years of experience in the financial services industry. Kathy is currently registered with Charles Schwab & Co., Inc. and previously worked with TD Ameritrade, Inc. and Scottrade, Inc. Kathy is licensed to conduct business in all 50 states and the District of Columbia. Kathy holds the Series 3, 7, 34, and 63 licenses as well as the SIE designation. Kathy provides financial planning and advisory services and has experience working with individuals, businesses, and institutions.

Firm Information

Kathy 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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Kathy Nguyen’s Registration & Firm History

MO

01/26/2023 - Present

Charles Schwab & CO., Inc. (St Louis MO)

MO

02/26/2018 - 12/31/2023

TD AMERITRADE, INC. (ST. LOUIS MO)

MO

07/01/2016 - 02/26/2018

SCOTTRADE, INC. (ST LOUIS MO)

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Licenses & Designations

BC

Issued 07/15/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/03/2021

Series 34 - Retail Off-Exchange FOREX Examination

BC

Issued 12/20/2019

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/30/2016

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 Kathy Thi Nguyen.
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