Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Loc? Claim Your ProfileLoc Minh Thai is an Investment Advisor Representative at Fidelity Personal And Workplace Advisors. Loc is registered with the state of California as an Investment Advisor Representative and a Registered Representative. Loc has been in the financial services industry since October 2007 and has a wide range of experience in portfolio management, financial planning, and retirement planning. Loc has a proven track record of providing clients with personalized financial advice and strategies to help them achieve their financial goals. Loc has been registered with the state of Texas as an Investment Advisor Representative since October 2022.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
10/07/2022 - Present
Fidelity Personal AND Workplace Advisors (CAMPBELL CA)
CA
05/11/2018 - 06/28/2022
J.P. MORGAN SECURITIES LLC (San Francisco CA)
CA
09/13/2011 - 05/16/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
07/30/2007 - 05/28/2010
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
NY
02/04/2002 - 05/06/2003
WORLDCO, L.L.C. (NEW YORK NY)
BOTH
Issued 06/09/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/13/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/22/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/21/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2007
Series 7 - General Securities Representative Examination
BC
Issued 02/14/2002
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
F
FINRA
N
New York Stock Exchange
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