Wa N. Huong

MORLING FINANCIAL ADVISORS

Fremont, CA 94538

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CRD#: 3236971

Professional summary

Wa Nhut Huong, CFP®, ChFC® is a registered financial advisor currently at MORLING FINANCIAL ADVISORS, LLC located in Fremont, California.

Wa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Wa has worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 6 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.

NAME: S & H MANAGEMENT, LLC INV RELATED: NO ADDRESS: 3450 LESLIE LN MURFREESBORO TN 37129 NATURE: PROPERTY MANAGEMENT DUTIES: BOOK KEEPING POSITION: MANAGING MEMBER START: IMMEDIATELY HR/MNTHLY: 2-4 HR DURING TRADING: 0-1.I CURRENTLY PARTICIPATE IN EQUITY INDEXED ANNUITIES (EIA'S) NAME: MAGNOLIA TREE INVESTMENTS, INC. INV RELATED. ADDRESS: 205 IMPERIO AVE, FREMONT, CALIFORNIA 94539. NATURE: HOLDS REAL ESTATE INVESTMENTS. DUTIES: CEO START DATE: 05/2008 HR/MNTHLY: ABOUT 2-4 HRS. MAGNOLIA TREE INVESTMENTS INC. BOTH OWNS REAL ESTATE AND ORGANIZES AND MANAGES INVESTMENT ENTITIES TO BUY REAL ESTATE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wa Nhut Huong'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: 2003

ChFC^®

Chartered Financial Consultant

Experience

Current

January 31, 2007 - Present

MORLING FINANCIAL ADVISORS, LLC

Office #1: 39355 California Street Suite 201a, Fremont, CA 94538

RIA

CRD#: 111819

Fremont, CA

Past

February 11, 2002 - February 5, 2007

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

FREMONT, CA

Past

July 3, 2001 - February 5, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

FREMONT, CA

Past

June 30, 1999 - August 3, 2001

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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".

MORLING FINANCIAL ADVISORS, LLC

CRD#: 111819 / SEC#: 801-100390

RIA

Registered Investment Advisory firm - (6/30/2015 Approved)

California

Registered Investment Advisory firm - (8/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(1/31/2007)

IAR

Texas
(4/8/2022)

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

IAR

Series 66

Date: 11/1/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/8/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/23/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/4/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MORLING FINANCIAL ADVISORS, LLC

CRD#: 111819 / SEC#: 801-100390

RIA

Registered Investment Advisory firm - (6/30/2015 Approved)

California

Registered Investment Advisory firm - (8/16/2015 Terminated)

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Contact information

Main Address

39355 California Street Suite 201a, Fremont, CA 94538-1447

Mailing Address

Phone number

(844) 667-5464

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MFA ADV 2A BROCHURE 3.19.2025 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	1,331
AUM (Assets Under Management)	$ 755,720,449

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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Wa N. Huong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wa Nhut Huong's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

MORLING FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/1/2001

Series 63

Date: 6/8/1999

Series 7

Date: 9/23/1999

Series 6

Date: 6/4/1999

Current Firm

MORLING FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MORLING FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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