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Nhan Duc Nguyen

Charles Schwab & CO., Inc.

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About Nhan Duc Nguyen

Nhan Duc Nguyen is a financial professional with over 20 years of experience in the financial services industry. Nhan holds FINRA Series 6, 7, 63, and 66 licenses, as well as the SIE designation. Nhan has been a Certified Financial Planner since 2016. Nhan currently works at Charles Schwab & CO., Inc. and is licensed to provide financial advice in Maryland and Texas. Nhan previously worked at Fidelity Brokerage Services LLC and Putnam Retail Management, Inc. Nhan has a strong background in investment management and financial planning. Nhan has a diverse client base, including individuals, high-net-worth individuals, and institutions.

Firm Information

Nhan Nguyen is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Nhan Nguyen’s Registration & Firm History

MD

03/23/2021 - Present

Charles Schwab & CO., Inc. (Bethesda MD)

VA

12/06/2000 - 09/13/2016

FIDELITY BROKERAGE SERVICES LLC (TYSONS CORNER VA)

MA

08/12/1999 - 10/10/2000

PUTNAM RETAIL MANAGEMENT, INC. (BOSTON MA)

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Licenses & Designations

BOTH

Issued 02/28/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/07/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/23/2001

Series 7 - General Securities Representative Examination

BC

Issued 08/12/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Nhan Duc Nguyen.
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