LT
Loc M. Thai
STRATEGIC ADVISERS LLC
SAN FRANCISCO, CA
Some features on this profile are disabled
CRD#: 3101479
LT
Professional summary
Loc Minh Thai, who also goes by Loc M Thai, Loc Minh Thai, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in San Francisco, California and FIDELITY BROKERAGE SERVICES LLC located in Campbell, California.
Loc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Loc has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Loc M Thai | Loc Minh Thai
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.
OBA-90173|OrgNmn:Loc M Thai LLC|Org Addr:San Franci,California,US|OBA Nature:Airbnb Rental|Invst Rel:Y|Title:Owner of property|Duties:Do nothing. Airbnb takes care of the business A-Z. Just collect rents. |StrtDt:03-31-22|TotHrs/mon:0.01|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Loc Minh Thai's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 851 East Hamilton Ave Ste 100, Campbell, CA 95008-0600RIA
CRD#: 104555
SAN FRANCISCO, CA
Current
September 15, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 851 East Hamilton Ave., Ste 100, Campbell, CA 95008BD
CRD#: 7784
CAMPBELL, CA
Past
September 20, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
CAMPBELL, CA
Past
May 11, 2018 - June 28, 2022
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
San Francisco, CA
Past
May 11, 2018 - June 28, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
San Francisco, CA
Past
September 13, 2011 - May 16, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
September 13, 2011 - May 16, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
June 10, 2008 - May 28, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SAN FRANCISCO, CA
Past
July 30, 2007 - May 28, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
February 4, 2002 - May 6, 2003
WORLDCO, L.L.C.
BD
CRD#: 24673
NEW YORK, NY
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/15/2022)
RR
Alaska(9/15/2022)
RR
Arizona(9/15/2022)
RR
Arkansas(9/15/2022)
RR
California(9/15/2022)
IAR
California(3/31/2025)
RR
Colorado(9/15/2022)
RR
Connecticut(9/15/2022)
RR
Delaware(9/15/2022)
RR
District of Columbia(9/15/2022)
RR
Florida(9/15/2022)
RR
Georgia(9/15/2022)
RR
Hawaii(9/15/2022)
RR
Idaho(9/15/2022)
RR
Illinois(9/15/2022)
RR
Indiana(9/15/2022)
RR
Iowa(9/15/2022)
RR
Kansas(9/15/2022)
RR
Kentucky(9/15/2022)
RR
Louisiana(9/15/2022)
RR
Maine(9/15/2022)
RR
Maryland(9/15/2022)
RR
Massachusetts(9/15/2022)
RR
Michigan(9/15/2022)
RR
Minnesota(9/15/2022)
RR
Mississippi(9/15/2022)
RR
Missouri(9/15/2022)
RR
Montana(9/15/2022)
RR
Nebraska(9/15/2022)
RR
Nevada(9/15/2022)
RR
New Hampshire(9/15/2022)
RR
New Jersey(9/15/2022)
RR
New Mexico(9/15/2022)
RR
New York(9/15/2022)
RR
North Carolina(9/15/2022)
RR
North Dakota(9/15/2022)
RR
Ohio(9/16/2022)
RR
Oklahoma(9/15/2022)
RR
Oregon(9/15/2022)
RR
Pennsylvania(9/15/2022)
RR
Puerto Rico(9/15/2022)
RR
Rhode Island(9/15/2022)
RR
South Carolina(9/15/2022)
RR
South Dakota(9/15/2022)
RR
Tennessee(9/15/2022)
RR
Texas(9/15/2022)
IAR
Texas(3/31/2025)
RR
Utah(9/15/2022)
RR
Vermont(9/15/2022)
RR
Virgin Islands(9/15/2022)
RR
Virginia(9/15/2022)
RR
Washington(9/15/2022)
RR
West Virginia(9/15/2022)
RR
Wisconsin(9/15/2022)
RR
Wyoming(9/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/14/2002
Limited Representative-Equity Trader ExamPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
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.
