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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

Thuy Diem Nguyen

Advisor at CHARLES SCHWAB & CO., INC.

Flower Mound, TX | Westlake, TX

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Search this name across graphsid dfx:ria:6ae721b2-30b4-86f4-9e13-79ebfa154dcf

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 4, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 31, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 31, 2003
First registration: Jun 4, 2003
Dual registered: yes, broker-dealer
Other names: BRITTANY DIEM NGUYEN|THUY DIEM NGUYEN|THUY NGUYEN
IAPD individual key: 2965470

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Jul 28, 2021	n/a	yes	Flower Mound, TX\|Westlake, TX	Current employment
TD AMERITRADE, INC.	Former SEC adviser	Aug 28, 2013	Oct 14, 2022	no	SAN DIEGO, CA\|Aliso Viejo, CA\|San Clemente, CA\|Seattle, WA\|SAN DIEGO, CA\|SAN DIEGO, CA\|Anaheim, CA\|San Diego, CA\|Flower Mound, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 18, 2011	Jul 26, 2013	no	SAN DIEGO, CA	Previous registration
ASSOCIATED SECURITIES CORP.	n/a	Sep 29, 2004	Nov 13, 2009	no	BOSTON, MA\|LOS ANGELES, CA\|EL SEGUNDO, CA	Previous registration
CLAREMONT FINANCIAL GROUP,INC.	Independent wealth	Mar 18, 2004	Jul 29, 2004	no	CLAREMONT, CA	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Jun 4, 2003	Dec 23, 2009	no	EL SEGUNDO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE, INC.	CHARLES SCHWAB & CO., INC.	Oct 14, 2022	Jul 28, 2021	-443	Channel change	Other
LPL FINANCIAL LLC	TD AMERITRADE, INC.	Jul 26, 2013	Aug 28, 2013	33	Firm change	Other
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	CLAREMONT FINANCIAL GROUP,INC.	Dec 23, 2009	Mar 18, 2004	-2,106	Firm change after gap	Other
ASSOCIATED SECURITIES CORP.	LPL FINANCIAL LLC	Nov 13, 2009	Mar 18, 2011	490	Firm change after gap	Other
CLAREMONT FINANCIAL GROUP,INC.	ASSOCIATED SECURITIES CORP.	Jul 29, 2004	Sep 29, 2004	62	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7870:5393:CA:2022-10-05	Oct 14, 2022	Jul 28, 2021	SAN DIEGO, CA	Firm change after gap

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jul 28, 2021 to presentfactForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 28, 2013 to Oct 14, 2022factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 18, 2011 to Jul 26, 2013factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Jun 4, 2003 to Dec 23, 2009factForm ADV
→ ASSOCIATED SECURITIES CORP.Registered adviserregistration: previous registration
Sep 29, 2004 to Nov 13, 2009factForm ADV
→ CLAREMONT FINANCIAL GROUP,INC.Registered adviserregistration: previous registration
Mar 18, 2004 to Jul 29, 2004factForm ADV

Dated events

No dated event names this entity yet.