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PHONG QUOC NGUYEN
PHONG Q NGUYEN
CRD#: 5693514
IA
B
WELLS FARGO ADVISORSCRD#: 19616 2170 TULLY RD
SAN JOSE, CA 95122
SAN JOSE, CA 95122
0
Disclosures
14
Years of Experience
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State Registrations
IA
California 1/12/2018
B
North Carolina 11/6/2024
B
California 1/16/2018
B
Oregon 12/23/2021
B
Nevada 6/28/2024
SRO Registrations
B
B
B
B
B
B
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B
Registered with this firm since 1/16/2018
IA
Registered with this firm since 1/12/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/18/2014 - 10/02/2017 | SAN JOSE, CA | |
B | 09/18/2014 - 10/02/2017 | SAN JOSE, CA | |
IA | 01/03/2011 - 08/01/2013 | SAN JOSE, CA | |
B | 01/03/2011 - 08/01/2013 | SAN JOSE, CA | |
IA | 09/14/2009 - 01/03/2011 | SAN JOSE, CA | |
B | 08/28/2009 - 01/03/2011 | SAN JOSE, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.