CN
Crystal A. Nguyen
CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX 77024
Some features on this profile are disabled
CRD#: 4673988
CN
Professional summary
Crystal Aesook Nguyen, who also goes by Crystal Ae Sook Kallio, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA ADVISORS LLC located in Houston, Texas.
Crystal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Crystal has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Crystal Ae Sook Kallio
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.
1) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, 8315 HUNTERS CREEK DR, HOUSTON, TX 77024, FIXED INSURANCE, START DATE 03/2004, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, SELLS LIFE, HEALTH, DISABILITY, AND LONG-TERM; 2) TOTUS WEALTH MANAGEMENT, LLC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 05/2021, DIRECTOR OF OPERATIONS, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) OUR TEN CENTS LLC, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, RETAIL, STARTED 12/2020, POSITION/TITLE/RELATIONSHIP: OWNER, APX 2 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SALES OF T-SHIRTS AND COFFEE MUGS; 4) NAME OF OTHER BUSINESS: CNN LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FAMILY LLC FOR FUTURE INVESTMENTS; START DATE: 03/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: 50% OWNER WITH NAM NGUYEN (HUSBAND) AS OTHER 50% OWNER; 5) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: LEGAL REPRESENTATION, START DATE: 07/2023, POSITION/TITLE/RELATIONSHIP: SECONDARY EXECUTOR AND TRUSTEE, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: BACKUP ADMINISTRATOR OF A CLIENT ESTATE: 6)NAME OF OTHER BUSINESS: WESTCHESTER ACADEMY FOR INTERNATIONAL STUDIES PTA, INVESTMENT RELATED: NO, ADDRESS: 901 YORKCHESTER DR, HOUSTON, TX 77079, NATURE OF BUSINESS: PARENT TEACHER ASSOCIATION, START DATE: 04/2025, POSITION/TITLE/RELATIONSHIP: PRESIDENT, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: COORDINATE THE WORK OF THIS PTA'S EXECUTIVE BOARD AND COMMITTEES; PRESIDE AT ALL EXECUTIVE BOARD AND MEMBERSHIP MEETINGS; 7) NAME OF OTHER BUSINESS: HCDE CASE FOR KIDS AND/OR TEXAS FORENSIC ASSOCIATION , INVESTMENT RELATED: NO, ADDRESS: 6005 WESTVIEW DR, HOUSTON, TX 77055, NATURE OF BUSINESS: DEBATE TOURNAMENTS, START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP:VOLUNTEER JUDGE, APX NUMBER OF HOURS PER WEEK: 8 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: JUDGING DEBATE TOURNAMENTS; 8) NAME OF OTHER BUSINESS: WAIS SPEECH & DEBATE; INVESTMENT RELATED: NO; ADDRESS: 901 YORKCHESTER DRIVE HOUSTON, TX 77079; NATURE OF BUSINESS: COMPETITIVE DEBATE TRAINING; START DATE: 08/2025; POSITION/TITLE/RELATIONSHIP: PARENT ADVISORY COUNCIL MEMBER / PART-TIME COACH; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: COACHING AND MENTORSHIP, FUNDRAISING, DEBATE JUDGING, CHAPERONING, COLLECTING DUES;
CRS (Client Relationship Summary) - RIA
Click below to view Crystal Aesook 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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 701 North Post Oak Rd Suite 320, Houston, TX 77024RIA
CRD#: 105644
HOUSTON, TX
Current
April 30, 2021 - Present
CETERA ADVISORS LLC
Office #1: 701 North Post Oak Rd Suite 320, Houston, TX 77024BD
CRD#: 10299
Houston, TX
Past
April 30, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
HOUSTON, TX
Past
March 25, 2017 - April 30, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HOUSTON, TX
Past
March 25, 2017 - April 30, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HOUSTON, TX
Past
March 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HOUSTON, TX
Past
December 19, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HOUSTON, TX
Past
June 20, 2012 - September 12, 2014
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
June 20, 2012 - September 12, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
June 1, 2009 - February 16, 2012
MORGAN STANLEY
RIA
CRD#: 149777
HOUSTON, TX
Past
June 1, 2009 - February 16, 2012
MORGAN STANLEY
BD
CRD#: 149777
HOUSTON, TX
Past
April 24, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
HOUSTON, TX
Past
January 20, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HOUSTON, TX
Past
April 18, 2005 - January 17, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
February 5, 2004 - March 15, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
August 20, 2003 - January 5, 2004
AMERICAN GENERAL DISTRIBUTORS, INC.
BD
CRD#: 37449
HOUSTON, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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(5/10/2021)
RR
Colorado(8/29/2023)
RR
New York(8/12/2025)
RR
Ohio(8/29/2023)
RR
Texas(4/30/2021)
IAR
Texas(3/21/2024)
RR
Washington(5/3/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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
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.
