Invested Better
Unclaimed

Unclaimed

Unclaimed

Thuy Diem Nguyen

Charles Schwab & CO., Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Thuy? Claim Your Profile

About Thuy Diem Nguyen

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.

Firm Information

Thuy Nguyen is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Asset based fees for wrap pgrms & subsc pricing for fin planning

Find Your Ideal Financial Advisor

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Thuy Nguyen’s Registration & Firm History

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)

Not sure if Thuy Diem Nguyen is right for you?

Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Thuy Diem Nguyen.
Not sure if Thuy Diem Nguyen is right for you?