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Tien Nguyen

Wells Fargo Clearing Services, LLC

Walnut Creek, CA

Emeryville, 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
CA RA APPROVED 2024-11-15
  • CA RA
    APPROVED
    Since 2024-11-15

Branch Locations

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

5765 Christie Ave, Emeryville, CA 94608 • 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
Jp Morgan Chase Bank, N.A. San Leandro CA 11/2012 12/2021
Jp Morgan Securities Llc Richmond CA 12/2021 11/2024
Wells Fargo Clearing Services, Llc Walnut Creek CA 11/2024 Present
Previous Registrations
  • 2022-01-03 → 2024-11-16
    J.P. Morgan Securities Llc
    Emeryville, CA
    San Leandro, CA
    San Leandro, CA
    Hercules, CA
    Richmond, CA
    Pinole, CA
    Pleasant Hill, CA
    Richmond, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-23
S63 Uniform Securities Agent State Law Examination 2014-08-06
  • S66 Uniform Combined State Law Examination
    2021-11-23
  • S63 Uniform Securities Agent State Law Examination
    2014-08-06
Other Names
  • Tien Duy Nguyen

View on SEC IAPD

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