Kimson Huu Cao, CFP | Financial Professional | Houston, Texas

Professional summary

Kimson Huu Cao, CFP® is a registered financial advisor currently at SB ADVISORY, LLC located in Houston, Texas and SAN BLAS SECURITIES LLC located in Chicago, Illinois.

Kimson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kimson has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Business Succession Planning

Comprehensive Financial Planni...

Retirement Planning

Budgeting

Insurance Planning

Employee and Employer Plan Ben...

Debt Management

Investment Planning

What is your minimum asset requirement?

250K

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimson Huu Cao'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: 2007

Experience

Current

October 21, 2024 - Present

SB ADVISORY, LLC

RIA

CRD#: 154680

Houston, TX

Current

September 5, 2024 - Present

SAN BLAS SECURITIES LLC

Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606

BD

CRD#: 290605

CHICAGO, IL

Past

August 29, 2024 - August 29, 2024

SB ADVISORY, LLC

RIA

CRD#: 154680

ATLANTA, GA

Past

November 1, 2010 - August 22, 2024

EDWARD JONES

RIA

CRD#: 250

HOUSTON, TX

Past

November 1, 2010 - August 22, 2024

EDWARD JONES

BD

CRD#: 250

HOUSTON, TX

Past

February 9, 2007 - December 1, 2010

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

HOUSTON, TX

Past

July 19, 2005 - December 1, 2010

J.W. COLE FINANCIAL, INC.

BD

CRD#: 124583

HOUSTON, TX

Past

May 12, 2004 - July 12, 2005

LPL FINANCIAL LLC

BD

CRD#: 6413

FORT MILL, SC

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".

SA

SB ADVISORY, LLC

CRD#: 154680 / SEC#: 801-77380

RIA

Registered Investment Advisory firm - (12/4/2012 Approved)

Arkansas

Registered Investment Advisory firm - (12/31/2012 Terminated)

California

Registered Investment Advisory firm - (12/31/2012 Terminated)

Colorado

Registered Investment Advisory firm - (1/3/2013 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2012 Terminated)

Indiana

Registered Investment Advisory firm - (12/31/2012 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2012 Terminated)

Missouri

Registered Investment Advisory firm - (8/19/2014 Terminated)

Nevada

Registered Investment Advisory firm - (12/31/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (1/2/2013 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2012 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/31/2012 Terminated)

Puerto Rico

Registered Investment Advisory firm - (12/31/2012 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2012 Terminated)

Texas

Registered Investment Advisory firm - (12/3/2013 Terminated)

Utah

Registered Investment Advisory firm - (12/31/2012 Terminated)

Virginia

Registered Investment Advisory firm - (12/31/2012 Terminated)

West Virginia

Registered Investment Advisory firm - (12/31/2012 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.

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

California
(10/23/2024)

RR

Indiana
(10/24/2024)

RR

New York
(10/24/2024)

RR

North Carolina
(10/22/2024)

RR

Texas
(10/21/2024)

IAR

Texas
(10/21/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

Series 63

Date: 6/8/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 5/11/2004

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

SA

SB ADVISORY, LLC

CRD#: 154680 / SEC#: 801-77380

RIA

Registered Investment Advisory firm - (12/4/2012 Approved)

Arkansas

Registered Investment Advisory firm - (12/31/2012 Terminated)

California

Registered Investment Advisory firm - (12/31/2012 Terminated)

Colorado

Registered Investment Advisory firm - (1/3/2013 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2012 Terminated)

Indiana

Registered Investment Advisory firm - (12/31/2012 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2012 Terminated)

Missouri

Registered Investment Advisory firm - (8/19/2014 Terminated)

Nevada

Registered Investment Advisory firm - (12/31/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (1/2/2013 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2012 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/31/2012 Terminated)

Puerto Rico

Registered Investment Advisory firm - (12/31/2012 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2012 Terminated)

Texas

Registered Investment Advisory firm - (12/3/2013 Terminated)

Utah

Registered Investment Advisory firm - (12/31/2012 Terminated)

Virginia

Registered Investment Advisory firm - (12/31/2012 Terminated)

West Virginia

Registered Investment Advisory firm - (12/31/2012 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).

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Contact information

Main Address

3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184

Mailing Address

Phone number

(404) 704-0406

Established

Firm type

Fiscal year end

# of Employees

29

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SB ADVISORY BROCHURE (1/30/2026)

Regulatory assets under management

Total Number of Accounts	1,540
AUM (Assets Under Management)	$ 404,771,341

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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Advisor Monitoring

Firm Stability Insights

Kimson H. Cao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimson Huu Cao's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAN BLAS SECURITIES LLC

SB ADVISORY, LLC

EDWARD JONES

EDWARD JONES

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

LPL FINANCIAL LLC

Primary Firm SEC Registration

SB ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/8/2004

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2004

FINRA

Current Firm

SB ADVISORY, LLC

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SB ADVISORY, LLC

TRUST BUT VERIFY

Contact information

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