Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mitchel? Claim Your ProfileMitchel MacNguyen is an investment professional with over 30 years of experience in the financial services industry. Mitchel is registered with Wells Fargo Clearing Services, LLC and has previously held positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wachovia Securities, LLC. Mitchel holds Series 7 and Series 63 licenses, and has passed the Series 65 exam.
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.
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2
CA
02/18/2022 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
05/26/2006 - 02/22/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
07/01/2003 - 05/30/2006
WACHOVIA SECURITIES, LLC (ROLLING HILLS ESTATES CA)
NY
01/04/1993 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/08/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/21/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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