TN
CFP
TN
CFP
Tom Nguyen
18 Years of Experience
Palo Alto, CA
1 DisclosureBroker
Tom Nguyen is a CFP-designated registered investment advisor at Wells Fargo Advisors, based in Palo Alto, CA, with 18 years of industry experience. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,327,695 clients with $610B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14703 advisors
IM Fee
Planning only
Assets Under Management
$606.0B
Fee Structure
Minimum Investment:$250K
- Cash Flow Analysis — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Education Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Retirement Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Risk Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Wealth Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Divorce Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Special Needs Analysis — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Sports & Entertainment — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Business Owner Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
The total fee per engagement can range up to $5,000 for clients with a net worth of $250,000 to $500,000, up to $12,500 for clients with a net worth over $500,000 to $1,000,000, and up to $25,000 for clients with a net worth over $1,000,000. Fees are subject to negotiation and may vary.
One-Time Plan:Up to $25,000
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Location
505 S California Ave, Palo Alto, CA, 94304
Get directionsHistory
Regulatory History (1)
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Employment Separation After Allegations
November 2006Other 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 6 mos
Wells Fargo Advisors
January 2025 - Present · 1 yr 6 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
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Exams
No exam information available for this advisor.