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Detailed Report
QUY VAN NGUYEN
CRD#: 5871094
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 5 PARK PLZ 19TH FL
[SUPPORT CENTER]
IRVINE, CA 92614
Registration History
20062008201020122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2014 - Present (10 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2013 - Present (11 years)BNYLIFE SECURITIES LLC (CRD# 5167)2012 - 2012 (<1 year)
Disclosure(s)
View By:
5/28/2006
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 1/13/2023
B
Mississippi 6/6/2016
B
Alaska 2/15/2023
B
Missouri 11/3/2017
B
Arizona 4/24/2015
B
Nevada 11/18/2013
B
Arkansas 9/19/2018
B
New Hampshire 9/24/2018
B
California 10/14/2013
B
New Jersey 4/12/2022
IA
California 4/23/2015
B
New Mexico 1/30/2015
B
Colorado 5/16/2016
B
New York 1/6/2014
B
Connecticut 5/20/2020
B
North Carolina 5/16/2016
B
Delaware 11/30/2022
B
Ohio 5/24/2017
B
District of Columbia 4/20/2022
B
Oklahoma 4/12/2022
B
Florida 12/16/2013
B
Oregon 11/13/2013
B
Georgia 4/12/2022
B
Pennsylvania 9/14/2020
B
Hawaii 11/13/2013
B
Rhode Island 6/2/2023
B
Idaho 11/13/2013
B
South Carolina 5/17/2021
B
Illinois 11/13/2013
B
South Dakota 5/7/2021
B
Indiana 6/6/2023
B
Tennessee 11/22/2019
B
Kansas 5/30/2017
B
Texas 1/14/2014
B
Kentucky 5/2/2022
IA
Texas 7/14/2014
B
Louisiana 4/12/2022
B
Utah 4/12/2022
B
Maine 4/12/2022
B
Virginia 5/24/2017
B
Maryland 4/12/2022
B
Washington 11/13/2013
B
Massachusetts 9/20/2018
B
Wisconsin 5/3/2022
B
Michigan 5/4/2022
B
Wyoming 5/3/2021

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
5 PARK PLZ 19TH FL [SUPPORT CENTER], IRVINE, CA 92614
Registered with this firm since 7/14/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5 PARK PLZ 19TH FL [SUPPORT CENTER], IRVINE, CA 92614
Registered with this firm since 10/14/2013
Previous Registration(s)
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B
 02/23/2012 - 11/05/2012 NYLIFE SECURITIES LLC (CRD#:5167) IRVINE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.