Andrew Hung Nguyen
Professional summary
Andrew Hung Nguyen MR, who also goes by Andrew Hung Nguyen Mr, Andrew Nguyen Mr, Hung Van Nguyen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Jose, California and CETERA INVESTMENT SERVICES LLC located in San Jose, California.
Andrew Hung is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Andrew Hung has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Hung Nguyen MR's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5615 Chesbro Avenue, San Jose, CA 95123March 13, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 5615 Chesbro Avenue, San Jose, CA 95123January 25, 2016 - August 22, 2019
CETERA ADVISORS LLC
November 2, 2013 - August 22, 2019
CETERA ADVISORS LLC
January 11, 2011 - November 1, 2013
FOOTHILL SECURITIES, INC.
January 8, 2009 - January 6, 2011
CUNA BROKERAGE SERVICES, INC.
May 29, 2007 - March 17, 2008
CITIGROUP GLOBAL MARKETS INC.
May 1, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 5, 2003 - February 21, 2003
CITICORP INVESTMENT SERVICES
April 4, 2000 - February 5, 2003
CAL FED INVESTMENTS
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/13/2019)
(3/13/2019)
(3/13/2019)
(3/13/2019)
(6/19/2019)
(10/28/2021)
(12/22/2023)
(2/16/2022)
(3/13/2019)
(1/12/2023)
(5/1/2019)
(3/13/2019)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644San Jose, CA 95123TRUST BUT VERIFY
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