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Thuy Diem Nguyen

Charles Schwab & Co., Inc.

Flower Mound, TX

Westlake, TX

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-07-28
  • TX RA
    APPROVED
    Since 2021-07-28

Branch Locations

Flower Mound, TX • United States

3000 Schwab Way, Westlake, TX 76262 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tdameritrade, Inc San Diego CA 08/2013 12/2023
Charles Schwab & Co., Inc. Flower Mound TX 07/2021 Present
Previous Registrations
  • 2013-08-28 → 2022-10-14
    Td Ameritrade, Inc.
    San Diego, CA
    Aliso Viejo, CA
    San Clemente, CA
    Seattle, WA
    San Diego, CA
    San Diego, CA
    Anaheim, CA
    San Diego, CA
    Flower Mound, TX
  • 2011-03-18 → 2013-07-26
    Lpl Financial Llc
    San Diego, CA
  • 2003-06-04 → 2009-12-23
    Associated Planners Investment Advisory Inc
    El Segundo, CA
  • 2004-09-29 → 2009-11-13
    Associated Securities Corp.
    Boston, MA
    Los Angeles, CA
    El Segundo, CA
  • 2004-03-18 → 2004-07-29
    Claremont Financial Group,Inc.
    Claremont, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-31
  • S66 Uniform Combined State Law Examination
    2003-05-31
Other Names
  • Brittany Diem Nguyen
  • Thuy Diem Nguyen
  • Thuy Nguyen

View on SEC IAPD

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