MC
Minhnguyen L. Chen
NATIONAL FINANCIAL SERVICES LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 5127573
MC
Professional summary
Minhnguyen Le Chen, who also goes by Minhnguyen Chen, VIvian Chen, Minhnguyen Khac Le, Vivian Le, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in San Francisco, California and FIDELITY BROKERAGE SERVICES LLC located in San Francisco, California.
Minhnguyen is registered as a RR (Registered Representative) and started their career in finance in 2006. Minhnguyen has worked at 6 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Minhnguyen Chen | Vivian Chen | Minhnguyen Khac Le | Vivian Le
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.
CRS (Client Relationship Summary) - BD
Click below to view Minhnguyen Le Chen'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
April 17, 2019 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111BD
CRD#: 13041
San Francisco, CA
Current
February 3, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111BD
CRD#: 7784
San Francisco, CA
Past
February 21, 2012 - October 15, 2015
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SAN FRANCISCO, CA
Past
December 15, 2010 - February 24, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SAN FRANCISCO, CA
Past
September 19, 2008 - October 30, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN FRANCISCO, CA
Past
September 19, 2008 - October 30, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN FRANCISCO, CA
Past
April 25, 2007 - October 2, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
SAN FRANCISCO, CA
Past
April 25, 2007 - October 2, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
SAN FRANCISCO, CA
Past
July 24, 2006 - March 7, 2007
ALAMO CAPITAL
BD
CRD#: 26193
WALNUT CREEK, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(11/22/2022)
RR
Alaska(11/22/2022)
RR
Arizona(11/22/2022)
RR
Arkansas(11/22/2022)
RR
California(11/22/2022)
RR
Colorado(11/22/2022)
RR
Connecticut(11/22/2022)
RR
Delaware(11/22/2022)
RR
District of Columbia(11/22/2022)
RR
Florida(11/22/2022)
RR
Georgia(11/22/2022)
RR
Hawaii(11/22/2022)
RR
Idaho(11/22/2022)
RR
Illinois(11/22/2022)
RR
Indiana(11/22/2022)
RR
Iowa(11/22/2022)
RR
Kansas(11/22/2022)
RR
Kentucky(11/22/2022)
RR
Louisiana(11/22/2022)
RR
Maine(11/22/2022)
RR
Maryland(11/22/2022)
RR
Massachusetts(11/22/2022)
RR
Michigan(11/22/2022)
RR
Minnesota(11/22/2022)
RR
Mississippi(11/22/2022)
RR
Missouri(11/22/2022)
RR
Montana(11/22/2022)
RR
Nebraska(11/22/2022)
RR
Nevada(11/22/2022)
RR
New Hampshire(11/22/2022)
RR
New Jersey(11/22/2022)
RR
New Mexico(11/22/2022)
RR
New York(11/22/2022)
RR
North Dakota(11/22/2022)
RR
Ohio(11/23/2022)
RR
Oklahoma(11/22/2022)
RR
Oregon(11/22/2022)
RR
Pennsylvania(11/22/2022)
RR
Puerto Rico(11/22/2022)
RR
Rhode Island(11/22/2022)
RR
South Carolina(11/22/2022)
RR
South Dakota(11/22/2022)
RR
Tennessee(11/22/2022)
RR
Texas(11/22/2022)
RR
Utah(11/22/2022)
RR
Vermont(11/22/2022)
RR
Virgin Islands(11/22/2022)
RR
Virginia(11/22/2022)
RR
Washington(11/22/2022)
RR
West Virginia(11/22/2022)
RR
Wisconsin(11/22/2022)
RR
Wyoming(11/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
