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Nghiep H. Nghiem
ROBERTSON INVESTMENT MANAGEMENT
Houston, TX 77002
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CRD#: 4021184
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Professional summary
Nghiep Hoang Nghiem, who also goes by Nghiep Hoang Ngheim, John Nghiem, is a registered financial advisor currently at ROBERTSON INVESTMENT MANAGEMENT located in Houston, Texas and NETWORK 1 FINANCIAL SECURITIES INC. located in Houston, Texas.
Nghiep is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Nghiep has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nghiep Hoang Ngheim | John Nghiem
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.
Robertson Investment Management. LLC, 919 Milam St., Ste. 550, Houston, TX 77002. Start date: 3/17/2025. Total hours/month devoted to OBA during normal trading hours: 16. Total hours/month devoted to OBA during NON-trading hours: 16. Investment-related. Position/Title: Managing Director. Nature of business: Investment Management. Duties: Financial Advisor, Investment Advisor Representative - Business Development.
CRS (Client Relationship Summary) - RIA
Click below to view Nghiep Hoang Nghiem's 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®
NoneExperience
Current
July 14, 2025 - Present
ROBERTSON INVESTMENT MANAGEMENT
Office #1: 919 Milam St Suite 500, Houston, TX 77002RIA
CRD#: 115425
Houston, TX
Current
February 10, 2025 - Present
NETWORK 1 FINANCIAL SECURITIES INC.
Office #1: 919 Milam Suite 550, Houston, TX 77002BD
CRD#: 13577
Houston, TX
Past
March 26, 2020 - January 28, 2025
SP SECURITIES LLC
BD
CRD#: 130560
HOUSTON, TX
Past
June 21, 2017 - February 26, 2020
ASCENDANT ALTERNATIVE STRATEGIES, LLC
BD
CRD#: 283881
WHITE PLAINS, NY
Past
April 7, 2016 - April 20, 2017
AXIOM CAPITAL MANAGEMENT, INC.
BD
CRD#: 26580
AUSTIN, TX
Past
March 18, 2014 - February 24, 2016
BRADLEY WOODS & CO. LTD.
BD
CRD#: 13660
NEW YORK, NY
Past
June 23, 2011 - March 19, 2014
AXIOM CAPITAL MANAGEMENT, INC.
BD
CRD#: 26580
HOUSTON, TX
Past
March 25, 2010 - August 26, 2010
APS FINANCIAL CORPORATION
BD
CRD#: 10033
AUSTIN, TX
Past
August 14, 2001 - August 4, 2006
SANDERS MORRIS LLC
BD
CRD#: 20580
HOUSTON, TX
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".
RI
ROBERTSON INVESTMENT MANAGEMENT
ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT
CRD#: 115425 / SEC#: 801-120446
RIA
Registered Investment Advisory firm - (4/2/2021 Approved)Texas
Registered Investment Advisory firm - (4/7/2021 Terminated)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.RR
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
IAR
California(7/14/2025)
IAR
Colorado(7/14/2025)
IAR
Louisiana(7/16/2025)
IAR
New York(7/14/2025)
RR
Texas(2/10/2025)
IAR
Texas(7/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RI
ROBERTSON INVESTMENT MANAGEMENT
ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT
CRD#: 115425 / SEC#: 801-120446
RIA
Registered Investment Advisory firm - (4/2/2021 Approved)Texas
Registered Investment Advisory firm - (4/7/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
919 Milam St Suite 500, Houston, TX 77002
Mailing Address
Phone number
(713) 622-4077
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 779 |
| AUM (Assets Under Management) | $ 273,053,474 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Colorado | ERA - Withdrawn | 12/22/2020 |
| Louisiana | ERA - Withdrawn | 12/22/2020 |
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.
Company Information
ROBERTSON INVESTMENT MANAGEMENT
CRD#: 115425Houston, TX 77002TRUST BUT VERIFY
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