Hung P. Nguyen

GUARDIAN FINANCIAL PARTNERS

Orange, CA 92866

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CRD#: 2857985

Professional summary

Hung Phuc Nguyen, CFP® is a registered financial advisor currently at GUARDIAN FINANCIAL PARTNERS, LLC located in Orange, California.

Hung is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Hung has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hung Phuc Nguyen'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

Start date: 2002

Experience

Current

April 28, 2017 - Present

GUARDIAN FINANCIAL PARTNERS, LLC

Office #1: 635 E. Chapman Ave., Orange, CA 92866

RIA

CRD#: 287652

Orange, CA

Past

July 1, 2003 - May 1, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

IRVINE, CA

Past

July 1, 2003 - May 1, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

IRVINE, CA

Past

October 24, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 8, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

NEWPORT BCH, CA

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".

GUARDIAN FINANCIAL PARTNERS, LLC

CRD#: 287652 / SEC#: 801-110423

RIA

Registered Investment Advisory firm - (4/28/2017 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.

Highlighted states indicate IAR registrations

IAR

California
(4/28/2017)

IAR

Texas
(4/28/2017)

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.

Exams

State Security Law Exam

Series 63

Date: 10/27/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/24/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 5/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/1997

General Securities Representative Examination

Current Firm

GUARDIAN FINANCIAL PARTNERS, LLC

CRD#: 287652 / SEC#: 801-110423

RIA

Registered Investment Advisory firm - (4/28/2017 Approved)

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Contact information

Main Address

635 E. Chapman Ave., Orange, CA 92866

Mailing Address

Phone number

(949) 771-2969

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (2/12/2025)

FORM ADV PART 2A APP 1 - WRAP BROCHURE (2/12/2025)

Regulatory assets under management

Total Number of Accounts	796
AUM (Assets Under Management)	$ 835,534,646

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Hung P. Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hung Phuc Nguyen's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

GUARDIAN FINANCIAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/1997

Series 65

Date: 10/24/1997

SIE

Date: 5/1/2017

Series 7

Date: 10/23/1997

Current Firm

GUARDIAN FINANCIAL PARTNERS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

Contact information

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