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CFP
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CFP

Tom Nguyen

Wells Fargo Advisors
18 Years of Experience
San Jose, CA
1 DisclosureBroker
View SEC Summary
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Tom Nguyen is a CFP-designated registered investment advisor at Wells Fargo Advisors, based in San Jose, CA, with 18 years of industry experience. Tom is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

1730 Saratoga Ave, San Jose, CA, 95129

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
November 2006
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Tom owns rental property in San Jose, CA since 2002. He spends minimal time on this activity.

Employment History
Current Registrations
Wells Fargo Clearing Services, LLCBroker
January 2025 - Present · 1 yr 9 mos
Wells Fargo Advisors
January 2025 - Present · 1 yr 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2019 - February 2025 · 5 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2019 - February 2025 · 5 yrs 7 mos
Citigroup Global Markets INC.
December 2017 - August 2019 · 1 yr 8 mos
Citigroup Global Markets INC.Broker
November 2017 - August 2019 · 1 yr 9 mos
J.P. Morgan Securities LLC
April 2015 - December 2017 · 2 yrs 8 mos
J.P. Morgan Securities LLCBroker
April 2015 - December 2017 · 2 yrs 8 mos
Nylife Securities LLCBroker
February 2015 - April 2015 · 2 mos
Chase Investment Services CORP.Broker
May 2009 - March 2012 · 2 yrs 10 mos
Chase Investment Services CORP.
May 2009 - March 2012 · 2 yrs 10 mos
Wamu Investments, INC.
April 2009 - May 2009 · 1 mo
Citigroup Global Markets INC.Broker
June 2007 - November 2008 · 1 yr 5 mos
Citigroup Global Markets INC.
June 2007 - November 2008 · 1 yr 5 mos
Wells Fargo Investments, LLCBroker
April 2007 - June 2007 · 2 mos
Wells Fargo Investments, LLC
April 2007 - June 2007 · 2 mos
Citicorp Investment Services
June 2006 - December 2006 · 6 mos
Citicorp Investment ServicesBroker
June 2006 - December 2006 · 6 mos
Wells Fargo Investments, LLC
January 2005 - June 2005 · 5 mos
Wells Fargo Investments, LLCBroker
June 2004 - June 2005 · 1 yr
Citicorp Investment ServicesBroker
February 2004 - June 2004 · 4 mos
MML Investors Services, INC.Broker
January 2003 - October 2003 · 9 mos
State Registrations3 states
CANVTX
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.
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