Best Investors Account Sign in

Chien Nguyen

Wells Fargo Clearing Services, LLC

Newport Beach, CA

Claim This Profile
Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-05-05
  • CA RA
    APPROVED
    Since 2021-05-05

Branch Locations

520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691) Newport Beach CA 01/2012 05/2021
Bank Of America, N.A. Newport Beach CA 03/2012 05/2021
Wells Fargo Clearing Services, Llc Newport Beach CA 05/2021 Present
  • 01/2012 → 05/2021
    Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)
    Newport Beach, CA
  • 03/2012 → 05/2021
    Bank Of America, N.A.
    Newport Beach, CA
  • 05/2021 → Present
    Wells Fargo Clearing Services, Llc
    Newport Beach, CA
Previous Registrations
  • 2012-01-12 → 2021-05-06
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Newport Beach, CA
  • 2011-01-03 → 2012-01-12
    Wells Fargo Clearing Services, Llc
    Westminster, CA
    Garden Grove, CA
    Huntington Beach, CA
    Fountain Valley, CA
    Fountain Valley, CA
    Garden Grove, CA
    Garden Grove, CA
    Westminster, CA
    Irvine, CA
    Newport Beach, CA
    Buena Park, CA
  • 2005-06-07 → 2011-01-03
    Wells Fargo Investments, Llc
    Fountain Valley, CA
    Westminster, CA
    Westminster, CA
    Garden Grove, CA
    Huntington Beach, CA
    Garden Grove, CA
    Garden Grove, CA
    Fountain Valley, CA
    Garden Grove, CA
    Garden Grove, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-03
S63 Uniform Securities Agent State Law Examination 1998-05-27
  • S65 Uniform Investment Adviser Law Examination
    1998-08-03
  • S63 Uniform Securities Agent State Law Examination
    1998-05-27
Other Names
  • Brandon Chien Nguyen
  • Chien Du Nguyen

View on SEC IAPD

Other Firms

OKAPI CAPITAL, LLC
OCVC, LLC
MIG CAPITAL, LLC
RESEARCH AFFILIATES
PAAMCO PRISMA, LLC
COMPOSITION WEALTH, LLC
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

WILLIAM ERIC BLANTON
Travis L. Shirley
Michael Schanna
Rebekah A. Beekie
WILLIAM BENJAMIN SHAPIRO
Austin Mascorro
Bruce Lyle
Philip Pluta

Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

More in Newport Beach, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor