Kim-ha T. Nguyen
ARAX ADVISORY PARTNERS
Houston, TX 77027
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CRD#: 4063673
Kim-ha T NguyenARAX ADVISORY PARTNERS
Professional summary
Kim-ha T Nguyen, CFP®, who also goes by Kim Nguyen, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Houston, Texas and USCA SECURITIES LLC located in Houston, Texas.
Kim-ha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kim-ha has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Aliases
Kim Nguyen
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.
CRS (Client Relationship Summary) - RIA
Click below to view Kim-ha T Nguyen'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®
CFP®
Start date: 2003
Experience
Current
July 20, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 4444 Westheimer Road Suite G500, Houston, TX 77027RIA
CRD#: 133535
Houston, TX
Current
October 7, 2011 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
HOUSTON, TX
Past
June 30, 2021 - July 21, 2026
U.S. CAPITAL WEALTH ADVISORS, LLC
RIA
CRD#: 288199
AUSTIN, TX
Past
October 7, 2011 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
HOUSTON, TX
Past
January 2, 2000 - October 17, 2011
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
December 15, 1999 - October 17, 2011
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 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
RR
Arkansas(1/12/2017)
RR
California(10/7/2011)
RR
Colorado(10/7/2011)
RR
Florida(9/2/2020)
RR
Georgia(9/2/2020)
RR
Indiana(10/7/2011)
RR
Iowa(10/7/2011)
RR
Kansas(6/9/2015)
RR
Kentucky(9/18/2015)
RR
Louisiana(10/7/2011)
RR
Massachusetts(12/7/2012)
RR
Michigan(9/3/2014)
RR
Minnesota(9/8/2017)
RR
Missouri(7/10/2019)
RR
Montana(11/19/2020)
RR
New Jersey(6/12/2024)
RR
New York(5/23/2019)
RR
North Carolina(6/28/2023)
RR
Ohio(5/4/2021)
RR
Oklahoma(10/7/2011)
RR
Oregon(10/7/2011)
RR
South Carolina(11/7/2019)
RR
South Dakota(2/25/2015)
RR
Tennessee(5/12/2021)
RR
Texas(10/7/2011)
IAR
Texas(7/20/2026)
RR
Utah(2/14/2025)
RR
Vermont(1/15/2025)
RR
Virginia(10/7/2011)
RR
Washington(10/7/2011)
RR
West Virginia(10/7/2011)
RR
Wisconsin(10/7/2011)
RR
Wyoming(10/7/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
730 17th Street Suite 107, Denver, CO 80202
Mailing Address
Phone number
(303) 633-5900
Established
Firm type
Fiscal year end
# of Employees
106
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,559 |
| AUM (Assets Under Management) | $ 8,960,126,874 |
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.
