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Tri Cao 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_RES 2025-03-31
  • CA RA
    APPROVED
    Since 2025-03-31
  • TX RA
    APPROVED_RES
    Since 2025-03-31

Branch Locations

San Jose, CA • United States

4160 N First St, San Jose, CA 95134-1513 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Jose CA 05/2016 07/2021
Bank Of America, N.A. San Jose CA 05/2016 07/2021
South Bay Honda Milpitas CA 02/2019 05/2019
Wells Fargo Clearing Services, Llc San Jose CA 08/2021 08/2023
Wells Fargo Bank, Na San Jose CA 08/2021 08/2023
Fidelity Investments San Jose CA 08/2023 Present
Fidelity Investments Boston MA 03/2025 Present
Previous Registrations
Other Businesses

OBA-113627|OrgNmn:Coolarcade24|Org Addr:San Jose,California,US|OBA Nature:I go to the arcade a lot. I se|Invst Rel:N|Title:seller|Duties:i pack the stuff and ship them|StrtDt:05-18-24|TotHrs/mon:8|TrdHrs/mon:1|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-13
  • S66 Uniform Combined State Law Examination
    2020-06-13
Other Names
  • Tri Nguyen
  • Tri Cao Nguyen
  • Tri C Nguyen

View on SEC IAPD

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