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Minhnguyen Chen

National Financial Services LLC

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About Minhnguyen Chen

Minhnguyen Chen is a financial advisor with National Financial Services LLC. Minhnguyen has been in the industry since 2007 and holds Series 7, SIE, and Series 99TO licenses. Minhnguyen has worked at several firms throughout their career including Fidelity Brokerage Services LLC, UBS Financial Services Inc., and Lehman Brothers Inc. Minhnguyen is registered in all 50 states and the District of Columbia.

Firm Information

Minhnguyen Chen is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

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.

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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Minhnguyen Chen’s Registration & Firm History

CA

04/17/2019 - Present

National Financial Services LLC (SAN FRANCISCO CA)

CA

12/15/2010 - 02/24/2022

FIDELITY BROKERAGE SERVICES LLC (SAN FRANCISCO CA)

CA

09/19/2008 - 10/30/2009

UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)

CA

04/25/2007 - 10/02/2008

LEHMAN BROTHERS INC. (SAN FRANCISCO CA)

CA

07/24/2006 - 03/07/2007

ALAMO CAPITAL (WALNUT CREEK CA)

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Licenses & Designations

BOTH

Issued 10/06/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/21/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Minhnguyen Chen.
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