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VICKY NGOC DO
CRD#: 6048817
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 433 N CAMDEN DR 9TH & 12TH FLS
[LA-RBO]
BEVERLY HILLS, CA 90210
Registration History
201220142016201820202022202420262 FIRMS2012 - Present (12 years)
Disclosure(s)
View By:
6/17/2013
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 2/12/2020

B
Missouri 1/14/2022

B
California 5/14/2012

B
Nevada 7/11/2012

IA
California 5/14/2012

B
New York 7/11/2012

B
Colorado 2/12/2020

B
North Carolina 6/22/2021

B
Delaware 12/12/2024

B
Oregon 1/4/2019

B
Florida 11/9/2017

B
Texas 1/3/2014

B
Idaho 10/18/2022

IA
Texas 1/3/2014

B
Indiana 7/19/2023

B
Utah 10/30/2018

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)
433 N CAMDEN DR 9TH & 12TH FLS [LA-RBO], BEVERLY HILLS, CA 90210
Torrance, CA
Registered with this firm since 5/14/2012

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
433 N CAMDEN DR 9TH & 12TH FLS [LA-RBO], BEVERLY HILLS, CA 90210
Torrance, CA
Registered with this firm since 4/20/2012

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B
Broker
IA
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.