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Keith Tuan Nguyen

Wells Fargo Clearing Services, LLC

Santa Rosa, CA

Vacaville, CA

Napa, CA

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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
TX RA APPROVED_RES 2025-07-10
CA RA APPROVED 2023-01-23
  • TX RA
    APPROVED_RES
    Since 2025-07-10
  • CA RA
    APPROVED
    Since 2023-01-23

Branch Locations

3700 Old Redwood Hwy Ste 108 [Nj-Rbo], Santa Rosa, CA 95404 • United States

120 Browns Valley Pkwy, Vacaville, CA 95688 • United States

901 Main St, Napa, CA 94559 • 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
Wells Fargo Advisors Llc Emeryville CA 02/2011 11/2016
Wells Fargo Bank, N.A. Emeryville CA 01/2006 Present
Wells Fargo Clearing Services, Llc Emeryville CA 11/2016 Present
  • 02/2011 → 11/2016
    Wells Fargo Advisors Llc
    Emeryville, CA
  • 01/2006 → Present
    Wells Fargo Bank, N.A.
    Emeryville, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Emeryville, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-01-22
S63 Uniform Securities Agent State Law Examination 2011-03-18
  • S65 Uniform Investment Adviser Law Examination
    2023-01-22
  • S63 Uniform Securities Agent State Law Examination
    2011-03-18
Other Names
  • Kiet Van Nguyen
  • Keith Tuankiet Nguyen

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Santa Rosa, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Santa Rosa, CA
CALDWELL SUTTER CAPITAL, INC. · Santa Rosa, CA
WELLS FARGO CLEARING SERVICES, LLC · SANTA ROSA, CA
EDWARD JONES · SANTA ROSA, CA
FOCUS PARTNERS WEALTH, LLC · SANTA ROSA, CA
FOCUS PARTNERS WEALTH, LLC · SANTA ROSA, CA
LPL FINANCIAL LLC · SANTA ROSA, CA

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