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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

JOSEPH NGUYEN

Advisor at WELLS FARGO ADVISORS

SAN JOSE, CA | CAMPBELL, CA

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Search this name across graphsid dfx:ria:c7fdeac7-bccc-b73c-75b0-3dd0f802e788

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Mar 22, 2006 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: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 21, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 21, 2006
First registration: Mar 22, 2006
Dual registered: yes, broker-dealer
Other names: JOSEPH THANH NGUYEN|JOSEPH T NGUYEN
IAPD individual key: 5040570

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
WELLS FARGO ADVISORS	Wirehouse	Apr 23, 2025	n/a	yes	CAMPBELL, CA\|SAN JOSE, CA	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	Apr 7, 2025	no	BOSTON, MA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Nov 21, 2023	Mar 31, 2025	no	CAMPBELL, CA	Previous registration
MORGAN STANLEY	Wirehouse	Sep 5, 2023	Oct 20, 2023	no	CUPERTINO, CA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Dec 10, 2015	Sep 5, 2023	no	Cupertino, CA\|ARLINGTON, VA\|Cupertino, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Apr 2, 2015	Jan 6, 2016	no	CAMPBELL, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 1, 2012	Jul 17, 2013	no	LOS GATOS, CA\|SAN FRANCISCO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Jul 17, 2012	no	WALNUT CREEK, CA\|FREMONT, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Aug 14, 2008	Jan 3, 2011	no	FREMONT, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 30, 2007	Jun 24, 2008	no	SAN JOSE, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Mar 22, 2006	Nov 13, 2007	no	UNION CITY, CA\|FREMONT, CA\|UNION CITY, 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
STRATEGIC ADVISERS LLC	WELLS FARGO ADVISORS	Apr 7, 2025	Apr 23, 2025	16	Firm change	Ibd to wirehouse
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
MORGAN STANLEY	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Oct 20, 2023	Nov 21, 2023	32	Firm change	Wirehouse to ibd
E*TRADE CAPITAL MANAGEMENT, LLC	MORGAN STANLEY	Sep 5, 2023	Sep 5, 2023	0	Bulk transfer	RIA to wirehouse
STRATEGIC ADVISERS LLC	E*TRADE CAPITAL MANAGEMENT, LLC	Jan 6, 2016	Dec 10, 2015	-27	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	STRATEGIC ADVISERS LLC	Jul 17, 2013	Apr 2, 2015	624	Firm change after gap	Other
WELLS FARGO ADVISORS	CITIGROUP GLOBAL MARKETS INC.	Jul 17, 2012	Aug 1, 2012	15	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO INVESTMENTS, LLC	Jun 24, 2008	Aug 14, 2008	51	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 13, 2007	Nov 30, 2007	17	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
104555:19616:MA:2025-04-04	Apr 7, 2025	Apr 23, 2025	BOSTON, MA	Firm change
149777:288590:CA:2023-10-13	Oct 20, 2023	Nov 21, 2023	CUPERTINO, CA	Firm change

Relationships

Registered with (8)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Jul 17, 2012factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2025 to Apr 7, 2025factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Nov 21, 2023 to Mar 31, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 5, 2023 to Oct 20, 2023factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 10, 2015 to Sep 5, 2023factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 1, 2012 to Jul 17, 2013factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 14, 2008 to Jan 3, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 30, 2007 to Jun 24, 2008factForm ADV

Dated events

Occurred
Apr 7, 2025
Advisor changed firm
Joseph Nguyen left Strategic Advisers Llc for Wells Fargo Advisors (registered 2025-04-23)
Form ADVobserved 4 days ago
Occurred
Oct 20, 2023
Advisor changed firm
Joseph Nguyen left Morgan Stanley for Fidelity Personal And Workplace Advisors (registered 2023-11-21)
Form ADVobserved 4 days ago