Kevin T. Nguyen
Professional summary
Kevin Thien Nguyen, who also goes by Kevin Nguyen, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2017. Kevin has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Thien Nguyen's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2025 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262March 31, 2025 - June 23, 2025
STRATEGIC ADVISERS LLC
December 8, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 19, 2021 - May 23, 2025
FIDELITY BROKERAGE SERVICES LLC
February 17, 2021 - October 27, 2021
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - October 27, 2021
TRUIST INVESTMENT SERVICES, INC.
May 19, 2020 - February 17, 2021
BB&T SECURITIES, LLC
May 19, 2020 - February 17, 2021
BB&T SECURITIES, LLC
January 10, 2019 - June 5, 2020
J.P. MORGAN SECURITIES LLC
January 10, 2019 - June 5, 2020
J.P. MORGAN SECURITIES LLC
October 4, 2017 - January 2, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2017 - January 2, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
