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THAO NGUYEN
Thao Mong Nguyen
CRD#: 2224910
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 851 EAST HAMILTON AVE., STE 100
CAMPBELL, CA 95008
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 851 EAST HAMILTON AVE., STE 100
CAMPBELL, CA 95008
Registration History
19952000200520102015202020252 FIRMS2004 - 2005 (1 year)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2010 - 2010 (<1 year)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2023 - Present (1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2021 - Present (3 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2004 (2 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 2000 (6 years)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2004 (7 years)
License(s)

State Registrations

B
Alabama 1/6/2024

B
Missouri 12/5/2024

B
Arizona 1/6/2024

B
Nebraska 1/6/2024

B
California 12/6/2021

B
Nevada 5/23/2023

IA
California 6/23/2023

B
New Jersey 11/29/2023

B
Colorado 5/23/2023

B
New York 1/6/2024

B
District of Columbia 1/6/2024

B
North Carolina 11/29/2023

B
Florida 11/29/2023

B
North Dakota 5/23/2023

B
Georgia 11/29/2023

B
Oregon 1/6/2024

B
Hawaii 1/6/2024

B
Pennsylvania 1/6/2024

B
Idaho 11/29/2023

B
Puerto Rico 1/6/2024

B
Illinois 1/6/2024

B
South Carolina 1/6/2024

B
Indiana 11/29/2023

B
Tennessee 1/6/2024

B
Maryland 11/29/2023

B
Texas 5/23/2023

B
Massachusetts 1/6/2024

IA
Texas 7/21/2023

B
Michigan 5/23/2023

B
Virginia 12/5/2024

B
Minnesota 5/23/2023

B
Washington 1/6/2024

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
851 EAST HAMILTON AVE., STE 100, CAMPBELL, CA 95008
Registered with this firm since 6/23/2023

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
851 EAST HAMILTON AVE., STE 100, CAMPBELL, CA 95008
SAN JOSE, CA
Registered with this firm since 10/25/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/30/2010 - 08/18/2010 ONEAMERICA SECURITIES, INC. (CRD#:4173) SAN JOSE, CA
B
04/12/2010 - 08/18/2010 ONEAMERICA SECURITIES, INC. (CRD#:4173) SAN JOSE, CA
IA
08/24/2007 - 06/06/2008 LPL FINANCIAL CORPORATION (CRD#:6413) CUPERTINO, CA
B
08/31/2007 - 06/06/2008 LPL FINANCIAL CORPORATION (CRD#:6413) CUPERTINO, CA
IA
08/31/2004 - 08/26/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN JOSE, CA
B
08/31/2004 - 08/26/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
IA
07/08/1997 - 09/10/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PALO ALTO, CA
B
11/19/2001 - 09/10/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
07/31/1993 - 01/13/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
04/08/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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B
Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.