Joseph Nguyen

CRD 5040570 · Wells Fargo Advisors · Campbell, CA

IA RegisteredBroker

Also appears in the source record as: Joseph T Nguyen; Joseph Thanh Nguyen

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (4): California · Florida · Indiana · New Hampshire
Years in the industry (source record): 19
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (16)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Campbell, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Campbell, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Campbell, CA · IA capacity

start not retrieved → present
Strategic Advisers LLC
Boston, MA · IA capacity

Mar 31, 2025 → Apr 7, 2025
Fidelity Brokerage Services LLC
Campbell, CA · BC capacity

Nov 8, 2023 → Apr 4, 2025
Fidelity Personal And Workplace Advisors
Campbell, CA · IA capacity

Nov 21, 2023 → Mar 31, 2025
Morgan Stanley
Cupertino, CA · IA capacity

Sep 5, 2023 → Oct 20, 2023
Morgan Stanley
Cupertino, CA · BC capacity

Mar 24, 2023 → Oct 20, 2023
E*trade Capital Management, LLC
Cupertino, CA · IA capacity

Dec 10, 2015 → Sep 5, 2023
E*trade Securities LLC
Cupertino, CA · BC capacity

Dec 10, 2015 → Sep 5, 2023
Citigroup Global Markets Inc.
Los Gatos, CA · IA capacity

Aug 1, 2012 → Jul 17, 2013
Citigroup Global Markets Inc.
Los Gatos, CA · BC capacity

Aug 1, 2012 → Jul 17, 2013
Wells Fargo Investments, LLC
Fremont, CA · IA capacity

Aug 14, 2008 → Jan 3, 2011
Wells Fargo Investments, LLC
Fremont, CA · BC capacity

Aug 14, 2008 → Jan 3, 2011
Merrill Lynch, Pierce, Fenner & Smith Incorporated
San Jose, CA · IA capacity

Nov 30, 2007 → Jun 24, 2008
Merrill Lynch, Pierce, Fenner & Smith Incorporated
San Jose, CA · BC capacity

Nov 30, 2007 → Jun 24, 2008

Source & corrections

Where this page comes from

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