Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Loc? Claim Your ProfileLoc Xuan Nguyen is a financial advisor with Fidelity Personal and Workplace Advisors. Loc has been in the financial services industry since 2010. Loc is registered as an investment advisor representative with Fidelity Personal and Workplace Advisors in Colorado, Florida and Texas. Loc also holds the Series 66, Series 63, Series 7, Series 10 and Series 9 licenses. Prior to joining Fidelity Personal and Workplace Advisors, Loc was a financial advisor with Fidelity Brokerage Services LLC. Loc is dedicated to providing personalized financial advice to help clients achieve their financial goals. Loc has experience working with a variety of clients, including individuals, families, and businesses. Loc is committed to providing clients with the highest level of service and integrity.
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
CO
03/07/2022 - Present
Fidelity Personal AND Workplace Advisors (BROOMFIELD CO)
CO
09/14/2010 - 03/05/2019
FIDELITY BROKERAGE SERVICES LLC (BROOMFIELD CO)
BOTH
Issued 9/12/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 9/20/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/18/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/2/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/13/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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