Pierre N. Ngo

ADVANCED FINANCIAL STRATEGIES

IRVINE, CA 92618

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CRD#: 1519944

Professional summary

Pierre Ngoc Ngo, CFP®, who also goes by Bill Ngoc Ngo, is a registered financial advisor currently at ADVANCED FINANCIAL STRATEGIES INC located in Irvine, California and CAPITAL SYNERGY PARTNERS located in Irvine, California.

Pierre is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Pierre has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Ngoc Ngo

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.

ADVANCED FINANCIAL STRATEGIES, INC/DBA ADVANCED FINANCIAL STRATEGIES & INSURANCE SERVICES 5 HUBBLE IRVINE, CA 92618 PRESIDENT/OWNER/SEC REGISTERED INVESTMENT ADVISOR - WEALTH PLANNING AND MANAGEMENT EFFECTIVE: 1997 140 HOURS PER MONTH/140 HOURS PER MONTH DURING MARKET HOURS. ASPEN ADVISORY GROUP, 5 HUBBLE IRVINE, CA 92618 (NO BUSINESS ACTIVITIES) 33% OWNERSHIP EFFECTIVE: 07/1999 NON-INVESTMENTRELATED, DE MINIMIS TIME. HUBBLE, LLC 5 HUBBLE IRVINE, CA 92618 33% OWNER/MANAGING MEMBER ENTITY OWNS REAL ESTATE (OFFICE BUILDING) WHERE BUSINESS IS LOCATED EFFECTIVE: 2003 3 HOURS PER MONTH/3 HOURS PER MONTH DURING MARKET HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pierre Ngoc Ngo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

August 15, 2000 - Present

ADVANCED FINANCIAL STRATEGIES INC

Office #1: 5 Hubble, Irvine, CA 92618

RIA

CRD#: 108296

IRVINE, CA

Current

October 26, 2010 - Present

CAPITAL SYNERGY PARTNERS

Office #1: 5 Hubble, Irvine, CA 92618

RIA

CRD#: 148733

Irvine, CA

Past

September 16, 1998 - December 10, 2010

REGENCY SECURITIES, INC.

CRD#: 7846

IRVINE, CA

Past

August 13, 1998 - September 25, 1998

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

May 15, 1995 - August 25, 1998

SPECTRUM SECURITIES, INC.

CRD#: 29305

AROURA HILLS, CA

Past

October 4, 1991 - May 16, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

October 14, 1986 - October 14, 1991

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

August 19, 1986 - October 8, 1986

PFS INVESTMENTS INC.

CRD#: 10111

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ADVANCED FINANCIAL STRATEGIES INC

ADVANCED FINANCIAL STRATEGIES INC | DBA ASPEN FINANCIAL & INSURANCE SERVICES | DBA ADVANCED FINANCIAL STRATEGIES AND INSURANCE SERVICES | DBA ADVANCED FINANCIAL STRATEGIES

CRD#: 108296 / SEC#: 801-57835

RIA

Registered Investment Advisory firm - (8/4/2000 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/11/2011)

IAR

California
(8/15/2000)

California
(10/26/2010)

Florida
(1/3/2025)

Georgia
(10/26/2010)

Maryland
(12/12/2012)

Pennsylvania
(12/26/2023)

Texas
(7/24/2015)

IAR

Texas
(4/1/2019)

Washington
(1/2/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/3/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ADVANCED FINANCIAL STRATEGIES INC

ADVANCED FINANCIAL STRATEGIES INC | DBA ASPEN FINANCIAL & INSURANCE SERVICES | DBA ADVANCED FINANCIAL STRATEGIES AND INSURANCE SERVICES | DBA ADVANCED FINANCIAL STRATEGIES

CRD#: 108296 / SEC#: 801-57835

RIA

Registered Investment Advisory firm - (8/4/2000 Approved)

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Contact information

Main Address

5 Hubble, Irvine, CA 92618

Mailing Address

Phone number

(949) 502-5333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVANCED FINANCIAL STRATEGIES INC. CLIENT BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	404
AUM (Assets Under Management)	$ 241,599,235

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.

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Advisor Monitoring

Firm Stability Insights

Pierre N. Ngo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pierre Ngoc Ngo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL SYNERGY PARTNERS

REGENCY SECURITIES, INC.

HORNOR, TOWNSEND & KENT, LLC

SPECTRUM SECURITIES, INC.

OSAIC WEALTH, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

PFS INVESTMENTS INC.

Primary Firm SEC Registration

ADVANCED FINANCIAL STRATEGIES INC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/3/1986

SIE

Date: 10/1/2018

Series 7

Date: 8/16/1986

FINRA

Current Firm

ADVANCED FINANCIAL STRATEGIES INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVANCED FINANCIAL STRATEGIES INC

TRUST BUT VERIFY

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