TN
Thien X. Nguyen
San Jose, CA
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CRD#: 8141913
TN
Thien Xuan Nguyen
Professional summary
Thien Xuan Nguyen was a registered financial advisor .
Thien is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Thien had worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
At a Glance
Always Fiduciary
Aliases
None
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.
(1) Name of the other business: Self Employed (CA Tax Preparer) Whether the business is investment-related: Yes Address of the other business: San Jose, CA Nature of the other business: Other OBA Your position, title, or relationship with the other business: CA Tax Preparer The start date of your relationship: Jun 01, 2024 The approximate number of hours/month you devote to the other business: 1 to 5 The number of hours you devote to the other business during securities trading hours: None Briefly describe your duties relating to the other business: Files taxes for clients (2) Name of the other business: Self Employed (Notary) Whether the business is investment-related: No Address of the other business: San Jose, CA Nature of the other business: Other OBA Your position, title, or relationship with the other business: Notary The start date of your relationship: Apr 01, 2024 The approximate number of hours/month you devote to the other business: 1 to 5 The number of hours you devote to the other business during securities trading hours: None Briefly describe your duties relating to the other business: CA Notary that performs duties whenever requested and time is sufficient (3) Name of the other business: Santa Clara County Library System Whether the business is investment-related: No Address of the other business: 160 North Main Street Milpitas, CA 95035 Nature of the other business: Community Activity Your position, title, or relationship with the other business: Bilingual Tutor The start date of your relationship: Nov 05, 2025 The approximate number of hours/month you devote to the other business: 11 to 20 The number of hours you devote to the other business during securities trading hours: None Briefly describe your duties relating to the other business: Community service position for the Santa Clara County Library System in Milpitas, CA that tutors adults and children in Vietnamese to improve their English skills.
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®
NoneExperience
Current
September 30, 2026 - Present
San Jose, CA
Past
October 3, 2025 - April 29, 2026
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Monterey, CA
Past
September 1, 2025 - April 29, 2026
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
Monterey, CA
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.Highlighted states indicate IAR registrations
IAR
California(9/30/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
PR
Series 6TO
Passed: 8/30/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current firm
No current employment
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
