Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tom? Claim Your ProfileTom Nguyen is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Tom has been in the financial services industry since 2008. Tom has also held positions with Citigroup Global Markets Inc., J.P. Morgan Securities LLC, NYLIFE Securities LLC, Chase Investment Services Corp., Wells Fargo Investments, LLC, and CitiCorp Investment Services. Tom has passed the Series 6, Series 7, Series 63, Series 65, Series 66, and SIE exams. Tom is registered with the state of California as an Investment Advisor Representative and is also registered in Texas as an Investment Advisor Representative. Tom's specialties include portfolio management for businesses and individuals, financial planning, pension consulting, selection of other advisers, and educational seminars.
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.
Guidance on pension options to ensure a secure financial future.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
08/31/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN JOSE CA)
CA
11/30/2017 - 08/05/2019
CITIGROUP GLOBAL MARKETS INC. (NEWARK CA)
CA
04/10/2015 - 12/13/2017
J.P. MORGAN SECURITIES LLC (SUNNYVALE CA)
CA
02/03/2015 - 04/01/2015
NYLIFE SECURITIES LLC (SAN JOSE CA)
CA
05/08/2009 - 03/27/2012
CHASE INVESTMENT SERVICES CORP. (FREMONT CA)
CA
06/22/2007 - 11/18/2008
CITIGROUP GLOBAL MARKETS INC. (SAN JOSE CA)
CA
04/16/2007 - 06/12/2007
WELLS FARGO INVESTMENTS, LLC (MILPITAS CA)
CA
06/23/2006 - 12/01/2006
CITICORP INVESTMENT SERVICES (SAN JOSE CA)
CA
06/18/2004 - 06/29/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
NY
02/06/2004 - 06/09/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MA
01/02/2003 - 10/02/2003
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
BOTH
Issued 02/24/2015
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/18/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2015
Series 7 - General Securities Representative Examination
BC
Issued 12/30/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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