Thu-huong Nguyen

$1.37T regulatory AUM 17,518 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-03-31
TX	RA	APPROVED	2025-03-31

Branch Locations

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

Organization	City	State	From	To
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

2022-04-26 → 2025-03-31

Fidelity Personal And Workplace Advisors

San Jose, CA
2019-04-05 → 2022-03-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-04-04
S63	Uniform Securities Agent State Law Examination	2005-08-04

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