Thuong-thao N. Buu-hoan

RICE HALL JAMES & ASSOCIATES LLC

SAN DIEGO, CA 92101

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CRD#: 4551637

Professional summary

Thuong-thao Nguyen Buu-hoan is a registered financial advisor currently at RICE HALL JAMES & ASSOCIATES LLC located in San Diego, California.

Thuong-thao is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Thuong-thao has worked at 2 firms and has passed the Series 65 and Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thuong-thao Nguyen Buu-hoan'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®

None

Experience

Current

April 30, 2010 - Present

RICE HALL JAMES & ASSOCIATES LLC

Office #1: 600 West Broadway, Suite 1000, San Diego, CA 92101

RIA

CRD#: 125410

SAN DIEGO, CA

Past

March 28, 2003 - November 13, 2007

RICE HALL JAMES & ASSOCIATES LLC

RIA

CRD#: 125410

SAN DIEGO, CA

Past

February 22, 2001 - March 27, 2003

RICE HALL JAMES & ASSOCIATES

RIA

CRD#: 104697

SAN DIEGO, CA

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".

RICE HALL JAMES & ASSOCIATES LLC

CRD#: 125410 / SEC#: 801-61905

RIA

Registered Investment Advisory firm - (2/13/2003 Approved)

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
(7/12/2010)

IAR

Texas
(4/30/2010)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/9/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/2001

Uniform Securities Agent State Law Examination

Current Firm

RICE HALL JAMES & ASSOCIATES LLC

CRD#: 125410 / SEC#: 801-61905

RIA

Registered Investment Advisory firm - (2/13/2003 Approved)

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Contact information

Main Address

600 West Broadway Suite 1000, San Diego, CA 92101

Mailing Address

Phone number

(619) 239-9005

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RICE HALL JAMES ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	265
AUM (Assets Under Management)	$ 1,775,743,710

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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Thuong-thao N. Buu-hoan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thuong-thao Nguyen Buu-hoan's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICE HALL JAMES & ASSOCIATES LLC

RICE HALL JAMES & ASSOCIATES LLC

RICE HALL JAMES & ASSOCIATES

Primary Firm SEC Registration

RICE HALL JAMES & ASSOCIATES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/2010

Series 63

Date: 1/8/2001

Current Firm

RICE HALL JAMES & ASSOCIATES LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICE HALL JAMES & ASSOCIATES LLC

TRUST BUT VERIFY

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