MN
Michelle T. Nguyen
SONRISA INVESTMENT MANAGEMENT
Irvine, CA
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CRD#: 4274275
MN
Professional summary
Michelle Thao Nguyen is a registered financial advisor currently at SONRISA INVESTMENT MANAGEMENT, LLC located in Irvine, California.
Michelle is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michelle has worked at 2 firms and has passed the Series 65, Series 66, 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.
MPT Global Management Services - 01/2018 to Present Michelle Nguyen, CPA, EA, Insurance Agent, Real Estate Sales Agent Managing Member/Owner - Address: 27 Sonrisa Irvine, CA 92620 Nature of Business: Tax preparation and consulting services Real estate investment management and insurance consulting services Tax preparation and consulting for small business clients (corporations & individuals) Not investment related - 20 per month /Hours during securities trading hours: 0 Viet Art Center Foundation - 01/2005 to Present Michelle Nguyen - Managing Member/Owner - Address: 27 Sonrisa Irvine, CA 92620 Nature of Business: Immigration Consulting Services Not investment related - 20 per month /Hours during securities trading hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Michelle Thao 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®
NoneExperience
Current
January 4, 2023 - Present
SONRISA INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 323019
Irvine, CA
Past
December 27, 2000 - October 30, 2002
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
IRVINE, CA
Past
October 12, 2000 - October 30, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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(1/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SI
SONRISA INVESTMENT MANAGEMENT, LLC
SONRISA INVESTMENT MANAGEMENT, LLC
CRD#: 323019 / SEC#: 802-126599
California
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Contact information
Main Address
Irvine, CA
Mailing Address
Phone number
(714) 658-6650
Established
Firm type
Fiscal year end
# of Employees
1
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 |
|---|---|---|
| SEC | ERA - Withdrawn | 10/4/2022 |
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.
