Thom Nguyen

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CRD#: 3000570

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thom Nguyen, who also goes by Thom Thingoc Nguyen, was a registered financial professional .

Thom is a previously registered financial professional and started their career in finance in 1998. Thom had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thom Thingoc Nguyen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 1, 2014 - December 31, 2014

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

BOSTON, MA

Past

June 23, 2014 - September 22, 2015

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

BOSTON, MA

Past

April 19, 2013 - June 23, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DURHAM, NC

Past

April 19, 2013 - June 23, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DURHAM, NC

Past

October 17, 2011 - March 11, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

RALEIGH, NC

Past

September 16, 2011 - March 11, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

RALEIGH, NC

Past

December 20, 2000 - August 9, 2002

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

CRD#: 16139

NEW YORK, NY

Past

August 6, 1998 - August 20, 1998

WALDRON & CO., INC.

CRD#: 868

IRVINE, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS MANAGEMENT, LLC | WELLS FARGO FUNDS MANAGEMENT, LLC

CRD#: 110841 / SEC#: 801-58237

RIA

Registered Investment Advisory firm - (12/22/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/13/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/23/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/22/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/2011

General Securities Representative Examination

Current Firm

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS MANAGEMENT, LLC | WELLS FARGO FUNDS MANAGEMENT, LLC

CRD#: 110841 / SEC#: 801-58237

RIA

Registered Investment Advisory firm - (12/22/2000 Approved)

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Contact information

Main Address

1415 Vantage Park Drive 3rd Floor, Charlotte, NC 28203

Mailing Address

Phone number

(833) 568-4255

Established

Firm type

Fiscal year end

# of Employees

519

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFM MARCH 24, 2025 2A BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	12,065
AUM (Assets Under Management)	$ 318,037,012,784

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.

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Advisor Monitoring

Firm Stability Insights

Thom Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSPRING FUNDS DISTRIBUTOR, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

WALDRON & CO., INC.

Primary Firm SEC Registration

ALLSPRING FUNDS MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/13/2011

Series 63

Date: 10/23/2001

SIE

Date: 9/22/2015

Series 7

Date: 9/15/2011

Current Firm

ALLSPRING FUNDS MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSPRING FUNDS MANAGEMENT, LLC

TRUST BUT VERIFY

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