Thu Huong Nguyen, financial advisor San Jose CA

Thu Huong Nguyen

CRD Number: 4740594
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Thu Huong Nguyen (CRD# 4740594) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in San Jose, CA and has over 16 years of experience in the finance industry.

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Fidelity Personal And Workplace Advisors
Company Name Location Dates Years
Bank Of America N.a. San Jose, CA Dec 2018 - Current 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Jose, CA Oct 2018 - Current 3
World Financial Group, Inc. Milpitas, CA Mar 2015 - Sep 2018 3
Transamerica Financial Advisors, Inc. Milpitas, CA Aug 2015 - Mar 2018 2
Nylife Securities Inc. San Francisco, CA Nov 2004 - May 2015 10
New York Life Insurance Company San Francisco, CA Dec 2003 - May 2015 11
New York Life Insurance Company San Jose, CA Feb 2004 - Mar 2015 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2005
S65 NASAA Investment Advisors Law Examination Apr 2019
Contact Info for Thu Huong T. Nguyen
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    1,084,544
    MILLIONS
  • Total Number of Accounts
    2,605,171
    ACCOUNTS
  • Average Account Value
    $416,304
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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