Steven Duc Nguyen
Professional Summary
Steven Duc Nguyen, who also goes by Steven Duc Hoang, Steve Nguyen, is a registered financial advisor currently at HACKMAN FINANCIAL GROUP located in Cincinnati, Ohio and LPL FINANCIAL LLC located in Cincinnati, Ohio. Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steven Duc Hoang, Steve Nguyen
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
HACKMAN FINANCIAL GROUP | HFG ADVISORS, INC. | HFG ADVISORS | HACKMAN FINANCIAL GROUP, INC.
Contact Information
Main Address
7355 E. Kemper Road, Cincinnati, OH 45249Phone Number
(513) 891-5300# of Employees
9SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,091AUM (Assets Under Management)
$426,724,964Similar Advisors
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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.
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Primary Firm SEC Registration
HACKMAN FINANCIAL GROUP | HFG ADVISORS, INC. | HFG ADVISORS | HACKMAN FINANCIAL GROUP, INC.
State Registrations and Notice Filings
(2/3/2021)
(9/8/2009)
(9/8/2009)
(9/8/2009)
(6/13/2016)
(5/9/2018)
(1/2/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1994About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Steven Duc Nguyen's CRS (Customer Relationship Summary).
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