Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phil? Claim Your ProfilePhil Hung Nguyen is a financial advisor with over 20 years of experience in the financial services industry. Phil is currently registered with Wells Fargo Clearing Services, LLC and has previously held positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc.. Phil is a Certified Financial Planner and has obtained multiple licenses and designations, including Series 3, 7, 10, 9, 63, and 65. Phil also teaches at Southern Methodist University. Phil specializes in providing financial planning, investment consulting, and portfolio management services for individuals, businesses, and institutional clients.
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.
1
2
TX
02/23/2018 - Present
Wells Fargo Clearing Services, LLC (SOUTHLAKE TX)
TX
04/17/2009 - 02/26/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SOUTHLAKE TX)
TX
12/15/2004 - 05/05/2009
CITIGROUP GLOBAL MARKETS INC. (SOUTHLAKE TX)
MO
09/24/2002 - 12/17/2004
EDWARD JONES (ST. LOUIS MO)
IA
Issued 02/01/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/26/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/27/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2005
Series 3 - National Commodity Futures Examination
BC
Issued 09/23/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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