DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

Quan Nguyen

Advisor at THRIVENT INVESTMENT MANAGEMENT INC.

Mansfield, MA | Dedham, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7bfc2df1-2e4f-7812-a444-c97d2c66f226

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 15, 2017 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: THRIVENT INVESTMENT MANAGEMENT INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 12, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Oct 12, 2009
First registration: Nov 15, 2017
Dual registered: yes, broker-dealer
Other names: KEVIN D NGUYEN|QUAN D NGUYEN|Kevin Nguyen
IAPD individual key: 5696341

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
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Aug 30, 2023	n/a	yes	Dedham, MA\|Mansfield, MA	Current employment
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Jan 8, 2021	Jun 9, 2023	no	MANSFIELD, MA\|FOXBORO, MA\|Hudson, MA\|SHARON, MA\|WALPOLE, MA\|STOUGHTON, MA\|HUDSON, NH	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Nov 15, 2017	Aug 28, 2020	no	Worcester, MA\|Boston, MA\|Framingham, MA\|Hingham, MA\|Framingham, MA\|Framingham, MA\|Norwood, MA\|BELLINGHAM, MA\|SOUTH BOSTON, MA\|Boston, MA\|Dorchester, MA\|Boston, MA\|Plymouth, MA\|DORCHESTER, MA\|Mattapan, MA\|DORCHESTER, MA\|Dorchester, MA\|Roxbury, MA\|Boston, MA\|Abington, MA\|Boston, MA\|SOUTH BOSTON, MA\|Boston, MA\|Boston, MA\|Boston, MA	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
CITIZENS SECURITIES, INC.	THRIVENT INVESTMENT MANAGEMENT INC.	Jun 9, 2023	Aug 30, 2023	82	Firm change	Ibd to ibd
SANTANDER SECURITIES	CITIZENS SECURITIES, INC.	Aug 28, 2020	Jan 8, 2021	133	Firm change	Ibd to ibd

Team moves

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

Team	Left	Joined	From	Kind
41791:39550:MA:2020-08-28	Aug 28, 2020	Jan 8, 2021	SOUTH BOSTON, MA	Firm change

Relationships

Registered with (3)

→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: current employment
Aug 30, 2023 to presentfactForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Jan 8, 2021 to Jun 9, 2023factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Nov 15, 2017 to Aug 28, 2020factForm ADV

Dated events

Occurred
Jun 9, 2023
Advisor changed firm
Quan Nguyen left Citizens Securities, Inc. for Thrivent Investment Management Inc. (registered 2023-08-30)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7bfc2df1-2e4f-7812-a444-c97d2c66f226
First observed: Nov 15, 2017
Last observed: Sep 15, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Quan Nguyen

Advisor at THRIVENT INVESTMENT MANAGEMENT INC.

Mansfield, MA | Dedham, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7bfc2df1-2e4f-7812-a444-c97d2c66f226

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

THRIVENT INVESTMENT MANAGEMENT INC.

Bd affiliated wealth

Aug 30, 2023

n/a

yes

Dedham, MA|Mansfield, MA

Current employment

CITIZENS SECURITIES, INC.

Bd affiliated wealth

Jan 8, 2021

Jun 9, 2023

Previous registration

SANTANDER SECURITIES

Bd affiliated wealth

Nov 15, 2017

Aug 28, 2020

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

CITIZENS SECURITIES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Jun 9, 2023

Aug 30, 2023

Firm change

Ibd to ibd

SANTANDER SECURITIES

CITIZENS SECURITIES, INC.

Aug 28, 2020

Jan 8, 2021

133

Firm change

Ibd to ibd

Team

Left

Joined

From

Kind

41791:39550:MA:2020-08-28

Aug 28, 2020

Jan 8, 2021

SOUTH BOSTON, MA

Firm change