Thao M. Nguyen
Professional summary
Thao Mong Nguyen, who also goes by Thao Nguyen, Thao Mong Nguyen, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in San Jose, California and FIDELITY BROKERAGE SERVICES LLC located in Campbell, California.
Thao is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Thao has worked at 8 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thao Mong Nguyen's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 851 East Hamilton Ave Ste 100, Campbell, CA 95008-0600October 25, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 851 East Hamilton Ave., Ste 100, Campbell, CA 95008June 23, 2023 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 30, 2010 - August 18, 2010
ONEAMERICA SECURITIES, INC.
April 12, 2010 - August 18, 2010
ONEAMERICA SECURITIES, INC.
August 31, 2007 - June 6, 2008
LPL FINANCIAL LLC
August 24, 2007 - June 6, 2008
LPL FINANCIAL LLC
August 31, 2004 - August 26, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 31, 2004 - August 26, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 19, 2001 - September 10, 2004
CITIGROUP GLOBAL MARKETS INC.
July 8, 1997 - September 10, 2004
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - January 13, 2000
CITIGROUP GLOBAL MARKETS INC.
April 8, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2024)
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(12/6/2021)
(3/31/2025)
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(5/23/2023)
(3/31/2025)
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(1/6/2024)
Exams
Series 7TO
Date: 10/25/2021
General Securities Representative ExaminationFINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
