Tom D Nguyen

CRD 4620133 · Wells Fargo Advisors · San Jose, CA

IA RegisteredBroker

Also appears in the source record as: Tom Dinh Nguyen; Tom Nguyen; Trac Dinh Nguyen

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 6TOSIESeries 7Series 6Series 66Series 65Series 63
Registered states (3): California · Nevada · Texas
Years in the industry (source record): 18
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4620133 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (17)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
San Jose, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
San Jose, CA · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
San Jose, CA · IA capacity

Jul 18, 2019 → Feb 4, 2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated
San Jose, CA · BC capacity

Jul 18, 2019 → Feb 4, 2025
Citigroup Global Markets Inc.
Newark, CA · IA capacity

Dec 1, 2017 → Aug 5, 2019
Citigroup Global Markets Inc.
Newark, CA · BC capacity

Nov 30, 2017 → Aug 5, 2019
J.P. Morgan Securities LLC
Sunnyvale, CA · IA capacity

Apr 13, 2015 → Dec 13, 2017
J.P. Morgan Securities LLC
Sunnyvale, CA · BC capacity

Apr 10, 2015 → Dec 13, 2017
Nylife Securities LLC
San Jose, CA · BC capacity

Feb 3, 2015 → Apr 1, 2015
Chase Investment Services Corp.
Fremont, CA · BC capacity

May 8, 2009 → Mar 27, 2012
Chase Investment Services Corp.
Fremont, CA · IA capacity

May 2, 2009 → Mar 27, 2012
Wamu Investments, Inc.
Fremont, CA · IA capacity

Apr 24, 2009 → May 2, 2009
Wells Fargo Investments, LLC
Milpitas, CA · BC capacity

Apr 16, 2007 → Jun 12, 2007
Wells Fargo Investments, LLC
Milpitas, CA · IA capacity

Apr 5, 2007 → Jun 12, 2007
Citicorp Investment Services
San Jose, CA · IA capacity

Jun 23, 2006 → Dec 1, 2006
Citicorp Investment Services
San Jose, CA · BC capacity

Jun 23, 2006 → Dec 1, 2006
Mml Investors Services, Inc.
Springfield, MA · BC capacity

Jan 2, 2003 → Oct 2, 2003

Source & corrections

Where this page comes from

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