Tammy N. Lee

U.S. CAPITAL WEALTH ADVISORS

Tustin, CA

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CRD#: 4984629

Professional summary

Tammy Nguyen Lee, CFP®, who also goes by Tammy Nguyen Ho, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Tustin, California.

Tammy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Tammy has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tammy Nguyen Ho

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.) Tammy Lee - Investment Related - Insurance - Insurance Agent - Start date 01/26/2016 - 5 hours per month - 0 hours during trading hours - If a client has a need for life insurance as a part of their financial plan, Tammy is licensed to find a policy that is the best fit for them. 2) RIA Strategic Implementation and Execution - Investment Related - 2522 Chambers Road, Tustin, CA - Provides implementation strategies for RIAs - Managing Member and Owner - Start date - 12/7/22 - 140 hours per month - 110 hours during trading hours - Duties include providing clients with operations and strategies implementation and consultation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tammy Nguyen Lee'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^®

CRD#: 20804

NEWPORT BEACH, CA

Past

February 13, 2008 - November 14, 2014

F500 ADVISORY SERVICES, INC.

RIA

CRD#: 107519

IRVINE, CA

Past

June 19, 2007 - November 14, 2014

FINANCE 500, INC.

CRD#: 12981

IRVINE, 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".

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 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

Arizona
(2/1/2023)

IAR

California
(12/16/2022)

IAR

Texas
(12/16/2022)

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: 1/22/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/2007

General Securities Representative Examination

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 Approved)

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Contact information

Main Address

4444 Westheimer Rd. Suite G500, Houston, TX 77027

Mailing Address

Phone number

(713) 366-0500

Established

Firm type

Fiscal year end

# of Employees

133

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

USCWA ADV PART 2A MARCH 28, 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	10,833
AUM (Assets Under Management)	$ 7,282,480,817

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
01/23/2024	Cover Page	Report
03/24/2023	Cover Page	Report

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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Firm Stability Insights

Tammy N. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tammy Nguyen Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA CUBED INVESTMENTS, LLC

RETIREMENT WELLNESS GROUP

BRIDGE ADVISORY LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

F500 ADVISORY SERVICES, INC.

FINANCE 500, INC.

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2008

SIE

Date: 10/1/2018

Series 7

Date: 6/18/2007

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

U.S. CAPITAL WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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