Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thai? Claim Your ProfileThai Thien Nguyen is a financial professional with over 25 years of experience in the financial services industry. Thai is registered with Wells Fargo Clearing Services, LLC and has held previous positions at SunTrust Investment Services, Inc., ALPS Distributors, Inc., AIG SunAmerica Capital Services, Inc. and Gruntal & Co. Incorporated. Thai is licensed to provide investment advice and securities services in multiple states including, but not limited to, Arizona, California, Colorado, Delaware, District of Columbia, Florida, Maryland, Massachusetts, New Jersey, New Mexico, New York, North Carolina, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Virginia, Washington, West Virginia, Wisconsin and Wyoming. Thai is well-equipped to provide a wide range of financial services, including portfolio management for individuals and businesses, financial planning and investment consulting services to 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
MD
07/03/2024 - Present
Wells Fargo Clearing Services, LLC (COLUMBIA MD)
VA
10/18/2004 - 03/03/2008
SUNTRUST INVESTMENT SERVICES, INC. (WOODBRIDGE VA)
CO
12/09/2003 - 03/08/2004
ALPS DISTRIBUTORS, INC. (DENVER CO)
NJ
11/22/1996 - 04/10/2003
AIG SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
NY
09/19/1995 - 07/03/1996
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 12/20/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/02/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/28/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1995
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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