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Detailed Report
THANH DUC NGUYEN
CRD#: 6688293
IA
Investment Adviser
B
Broker
STRATEGIC ADVISERS LLCCRD#: 104555 155 SEAPORT BLVD
BOSTON, MA 02210-2698
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 123-127 SOUTH LAKE AVE.
PASADENA, CA 91101
Registration History
201620172018201920202021202220232024202520262 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - 2021 (1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2025 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2021 - Present (3 years)BAMERITAS INVESTMENT CORP. (CRD# 14869)2016 - 2018 (2 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2021 - 2025 (3 years)
License(s)

State Registrations

B
Alabama 9/29/2023
B
Nevada 11/29/2021
B
Arizona 11/29/2021
B
New Hampshire 11/29/2021
B
Arkansas 11/29/2021
B
New Jersey 11/29/2021
B
California 6/22/2021
B
New York 11/29/2021
IA
California 3/31/2025
B
North Carolina 11/29/2021
B
Colorado 11/29/2021
B
Ohio 11/30/2021
B
Connecticut 11/29/2021
B
Oklahoma 11/29/2021
B
Delaware 11/29/2021
B
Oregon 11/29/2021
B
Florida 11/29/2021
B
Pennsylvania 11/29/2021
B
Georgia 11/29/2021
B
Rhode Island 11/29/2021
B
Hawaii 11/29/2021
B
South Carolina 11/29/2021
B
Idaho 11/29/2021
B
South Dakota 11/29/2021
B
Indiana 11/29/2021
B
Tennessee 11/29/2021
B
Kansas 11/29/2021
B
Texas 11/29/2021
B
Kentucky 11/29/2021
IA
Texas 3/31/2025
B
Louisiana 11/29/2021
B
Utah 11/29/2021
B
Massachusetts 11/29/2021
B
Virginia 11/29/2021
B
Michigan 12/7/2022
B
Washington 11/29/2021
B
Minnesota 11/29/2021
B
West Virginia 5/3/2024
B
Mississippi 11/29/2021
B
Wyoming 11/29/2021
B
Montana 11/29/2021

SRO Registrations

B
 FINRA
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
STRATEGIC ADVISERS LLC (CRD#:104555)
155 SEAPORT BLVD, BOSTON, MA 02210-2698
Registered with this firm since 3/31/2025
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
123-127 SOUTH LAKE AVE., PASADENA, CA 91101
BALDWIN PARK, CA
Registered with this firm since 6/22/2021
Previous Registration(s)
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IA
 07/26/2021 - 03/31/2025 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) PASADENA, CA
IA
 10/17/2019 - 06/02/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN DIMAS, CA
B
 10/17/2019 - 06/02/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN DIMAS, CA
IA
 05/17/2019 - 10/23/2019 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) CITY OF INDUSTRY, CA
B
 05/08/2019 - 10/23/2019 PRUCO SECURITIES, LLC. (CRD#:5685) CITY OF INDUSTRY, CA
B
 08/05/2016 - 10/04/2018 AMERITAS INVESTMENT CORP. (CRD#:14869) GARDEN GROVE, 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.