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Detailed Report
KHOI DINH VU
Khoi Dinh Vu, Khoi Vu
CRD#: 6952551
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3255 JEFFERSON ST
NAPA, CA 94558
Registration History
2018201920202021202220232024202520262 FIRMS2018 - 2019 (1 year)2 FIRMS2020 - 2025 (4 years)2 FIRMS2025 - Present (<1 year)
License(s)

State Registrations

B
Arizona 1/24/2025
B
New York 3/27/2025
B
California 1/24/2025
B
Oregon 1/24/2025
IA
California 1/24/2025
B
Texas 1/24/2025
B
Florida 1/24/2025
IA
Texas 1/24/2025
B
Nevada 1/24/2025
B
Washington 1/24/2025

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
3255 JEFFERSON ST, NAPA, CA 94558
Registered with this firm since 1/24/2025
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3255 JEFFERSON ST, NAPA, CA 94558
Registered with this firm since 1/24/2025
Previous Registration(s)
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IA
 03/04/2020 - 01/02/2025 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SONOMA, CA
B
 03/04/2020 - 01/02/2025 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SONOMA, CA
IA
 08/10/2018 - 10/02/2019 EDWARD JONES (CRD#:250) SONOMA, CA
B
 07/10/2018 - 10/02/2019 EDWARD JONES (CRD#:250) SONOMA, 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.