Andrew Nguyen is a registered investment advisor, based in San Jose, CA, with 21 years of industry experience.
Location
5615 Chesbro Avenue, San Jose, CA, 95123
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Regulatory History (1)
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Customer Dispute
March 2020Denied
Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2019 - Present · 7 yrs 2 mos
Cetera Investment Services LLCBroker
March 2019 - Present · 7 yrs 2 mos
Previous Registrations
Cetera Advisors LLC
January 2016 - August 2019 · 3 yrs 7 mos
Cetera Advisors LLCBroker
November 2013 - August 2019 · 5 yrs 9 mos
Foothill Securities, INC.Broker
January 2011 - November 2013 · 2 yrs 10 mos
CUNA Brokerage Services, INC.Broker
January 2009 - January 2011 · 2 yrs
Citigroup Global Markets INC.Broker
May 2007 - March 2008 · 10 mos
Citicorp Investment ServicesBroker
May 2006 - May 2007 · 1 yr
Citicorp Investment ServicesBroker
February 2003 - February 2003 · 0 mos
Cal Fed InvestmentsBroker
April 2000 - February 2003 · 2 yrs 10 mos
State Registrations7 states
AZCALANVORUTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.