Khoi D. Nguyen

WATA CAPITAL LLC

San Francisco, CA

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CRD#: 4868093

Professional summary

Khoi Duy Nguyen, CFP® is a registered financial advisor currently at WATA CAPITAL LLC located in San Francisco, California.

Khoi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Khoi has worked at 3 firms and has passed the 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Khoi Duy 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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

November 1, 2018 - Present

WATA CAPITAL LLC

RIA

CRD#: 298666

San Francisco, CA

Past

March 3, 2007 - July 23, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN FRANCISCO, CA

Past

March 3, 2007 - July 23, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN FRANCISCO, CA

Past

August 24, 2005 - January 3, 2007

TD AMERITRADE, INC.

RIA

CRD#: 7870

SAN DIEGO, CA

Past

July 18, 2005 - January 3, 2007

TD AMERITRADE, INC.

CRD#: 7870

SAN DIEGO, CA

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
(11/1/2018)

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 66

Date: 8/22/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/23/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/2005

General Securities Representative Examination

Current Firm

WATA CAPITAL LLC

CRD#: 298666 / SEC#:

California

Registered Investment Advisory firm - (11/1/2018 Approved)

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Contact information

Main Address

San Francisco, CA

Mailing Address

1728 Ocean Avenue 220, San Francisco, CA 94112

Phone number

(415) 695-4075

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 7,237,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Khoi D. Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Khoi Duy Nguyen's CRS (Customer Relationship Summary).

Certified licenses

Experience

WATA CAPITAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2005

SIE

Date: 7/23/2018

Series 7

Date: 7/16/2005

Current Firm

WATA CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WATA CAPITAL LLC

TRUST BUT VERIFY

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