Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ken? Claim Your ProfileKen Nguyen is a financial advisor who has been working in the industry since 2000. Ken is currently registered with Wells Fargo Clearing Services, LLC and has been with them since 2011. Ken previously worked with WELLS FARGO INVESTMENTS, LLC, PFIC SECURITIES CORPORATION, and FISERV INVESTOR SERVICES, INC. Ken is licensed in California and Texas and holds the Series 7, Series 63, and Series 66 licenses. Ken is also a registered Investment Advisor Representative in California and Texas. Ken specializes in providing investment advice to individuals, corporations, and charitable organizations. Ken also provides investment consulting services to institutional clients.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
07/29/2020 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
01/24/2006 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (LOS ANGELES CA)
CA
08/17/2005 - 02/08/2006
PFIC SECURITIES CORPORATION (VALENCIA CA)
TX
06/01/2000 - 08/17/2005
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
BOTH
Issued 07/07/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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