Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phong? Claim Your ProfilePhong Quoc Nguyen is a registered representative with Wells Fargo Clearing Services, LLC in San Jose, California. Phong has over 13 years of experience in the securities industry. Phong is also a registered investment advisor representative. Phong holds the Series 7, Series 66, and SIE licenses. Phong has previously been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wells Fargo Advisors, LLC. Phong has specializations in Fixed Income, Equities, Mutual Funds, Annuities, and Variable Products. Phong is also a landlord for rental property.
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
01/12/2018 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
CA
09/18/2014 - 10/02/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
CA
01/03/2011 - 08/01/2013
WELLS FARGO ADVISORS, LLC (SAN JOSE CA)
CA
08/28/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN JOSE CA)
BOTH
Issued 09/12/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2009
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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