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Thu-Huong Nguyen

Strategic Advisers LLC

San Jose, CA

San Jose, CA

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Current Employers
Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-03-31
TX RA APPROVED 2025-03-31
  • CA RA
    APPROVED
    Since 2025-03-31
  • TX RA
    APPROVED
    Since 2025-03-31

Branch Locations

4160 N First St, San Jose, CA 95134-1513 • United States

San Jose, CA • 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
Transamerica Financial Advisors, Inc Milpitas CA 08/2015 03/2018
World Financial Group, Inc. Milpitas CA 03/2015 09/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Jose CA 10/2018 03/2022
Bank Of America N.A. San Jose CA 12/2018 03/2022
Fidelity Investments San Jose CA 03/2022 Present
Fidelity Investments Boston MA 03/2025 Present
  • 08/2015 → 03/2018
    Transamerica Financial Advisors, Inc
    Milpitas, CA
  • 03/2015 → 09/2018
    World Financial Group, Inc.
    Milpitas, CA
  • 10/2018 → 03/2022
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Jose, CA
  • 12/2018 → 03/2022
    Bank Of America N.A.
    San Jose, CA
  • 03/2022 → Present
    Fidelity Investments
    San Jose, CA
  • 03/2025 → Present
    Fidelity Investments
    Boston, MA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-04-04
S63 Uniform Securities Agent State Law Examination 2005-08-04
  • S65 Uniform Investment Adviser Law Examination
    2019-04-04
  • S63 Uniform Securities Agent State Law Examination
    2005-08-04
Other Names
  • Thu-Huong Thi Nguyen
  • Thu Huong Thi Nguyen
  • Thu Huong Nguyen

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
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