Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thao? Claim Your ProfileThao Nguyen is a financial advisor at Fidelity Personal And Workplace Advisors. She has been in the financial services industry since April 2007. Thao has a broad range of experience, having previously worked at OneAmerica Securities, Inc., LPL Financial Corporation, Banc of America Investment Services, Inc., Citigroup Global Markets Inc., Salomon Smith Barney Inc., and Lehman Brothers Inc. She holds Series 7, 63, 65, and 66 licenses. Thao specializes in financial planning, portfolio management for individuals and businesses, and the selection of other advisors.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
07/21/2023 - Present
Fidelity Personal AND Workplace Advisors (CAMPBELL CA)
CA
04/12/2010 - 08/18/2010
ONEAMERICA SECURITIES, INC. (SAN JOSE CA)
CA
08/31/2007 - 06/06/2008
LPL FINANCIAL CORPORATION (CUPERTINO CA)
MA
08/31/2004 - 08/26/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
11/19/2001 - 09/10/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/31/1993 - 01/13/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
04/08/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 1/19/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/6/2021
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 7/1/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/25/2021
Series 7TO - General Securities Representative Examination
BC
Issued 6/22/2021
SIE - Securities Industry Essentials Examination
BC
Issued 4/6/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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