Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kim? Claim Your ProfileKim Ngan Nguyen is a financial advisor registered with Charles Schwab & Co., Inc., where Kim has been employed since December 2022. Kim has experience in the financial industry since October 2018. Prior to joining Charles Schwab & Co., Inc., Kim was employed by PIMCO Investments LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and other companies. Kim holds the Series 66, Series 10, Series 9, Series 7 and SIE licenses. Kim also has a property owner business and is a financial advisor. Kim is registered to provide advisory services in California.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CA
01/09/2023 - Present
Charles Schwab & CO., Inc. (Pasadena CA)
CA
11/09/2021 - 12/09/2022
PIMCO INVESTMENTS LLC (NEWPORT BEACH CA)
CA
09/24/2018 - 11/05/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BREA CA)
BOTH
Issued 2/25/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 9/18/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/6/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/24/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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