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Quang Phuong Nguyen

Charles Schwab & Co., Inc.

Cupertino, CA

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Current Employers
Charles Schwab & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-01-26
  • CA RA
    APPROVED
    Since 2022-01-26

Branch Locations

19499 Stevens Creek Blvd Suite 100, Cupertino, CA 95014 • 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
Fidelity Investments Campbell CA 04/2011 02/2018
Td Ameritrade, Inc. Cupertino CA 02/2018 07/2024
Charles Schwab & Co., Inc. Cupertino CA 01/2022 Present
Td Ameritrade Investment Management, Llc Cupertino CA 03/2018 09/2023
Charles Schwab Bank, Ssb Cupertino CA 07/2022 Present
  • 04/2011 → 02/2018
    Fidelity Investments
    Campbell, CA
  • 02/2018 → 07/2024
    Td Ameritrade, Inc.
    Cupertino, CA
  • 01/2022 → Present
    Charles Schwab & Co., Inc.
    Cupertino, CA
  • 03/2018 → 09/2023
    Td Ameritrade Investment Management, Llc
    Cupertino, CA
  • 07/2022 → Present
    Charles Schwab Bank, Ssb
    Cupertino, CA
Previous Registrations
  • 2018-03-09 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Cupertino, CA
  • 2018-03-09 → 2022-10-14
    Td Ameritrade, Inc.
    Cupertino, CA
    Omaha, NE
  • 2013-02-15 → 2018-03-11
    Strategic Advisers Llc
    Campbell, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-13
  • S66 Uniform Combined State Law Examination
    2011-10-13
Other Names
  • Steven Phuong Nguyen

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CUPERTINO, CA
CITIGROUP GLOBAL MARKETS INC. · CUPERTINO, CA
EVEREST PRIVATE WEALTH · CUPERTINO, CA
AIMTOP ADVISORS, LLC · CUPERTINO, CA
AKRISH FINANCIAL ADVISORY · CUPERTINO, CA
FV ADVISORS LLC · CUPERTINO, CA
MINOVA CAPITAL LLC · CUPERTINO, CA
CAPITAL V GROUP LLC · CUPERTINO, CA

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