Unclaimed
Thuy Diem Nguyen is an investment advisor representative at Charles Schwab & CO., Inc. Thuy Diem Nguyen has been in the financial services industry since May 18, 2001. Thuy Diem Nguyen is also registered with the following firms: TD AMERITRADE, INC., LPL FINANCIAL LLC, ASSOCIATED SECURITIES CORP., and FINANCIAL NETWORK INVESTMENT CORPORATION.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
TX
07/28/2021 - Present
Charles Schwab & CO., Inc. (Westlake TX)
CA
08/28/2013 - 12/31/2023
TD AMERITRADE, INC. (SAN DIEGO CA)
CA
03/19/2011 - 07/26/2013
LPL FINANCIAL LLC (SAN DIEGO CA)
CA
10/03/2002 - 11/13/2009
ASSOCIATED SECURITIES CORP. (EL SEGUNDO CA)
CA
01/24/2000 - 10/22/2002
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
BOTH
Issued 05/31/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/13/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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