Phil Nguyen, financial advisor Southlake TX
96 score

Phil Nguyen

CRD Number: 4568262
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Phil Nguyen (CRD# 4568262) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Southlake, TX and has over 15 years of experience in the finance industry. Phil Nguyen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Wells Fargo Clearing Services LLC Southlake, TX Feb 2018 - Current < 1
Bank Of America, N.a. Irving, TX Sep 2009 - Feb 2018 8
Merrill Lynch, Pierce, Fenner & Smith Incorporated Irving, TX Apr 2009 - Feb 2018 8
Citigroup Global Markets Inc. Southlake, TX Dec 2004 - Apr 2009 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 2002
S65 NASAA Investment Advisors Law Examination Feb 2005
Contact Info for Phil H. Nguyen
Phone Number: 800-637-7455
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    639,574
    MILLIONS
  • Total Number of Accounts
    1,831,494
    ACCOUNTS
  • Average Account Value
    $349,209
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • 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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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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