AN
Andrew H. Nguyen
ACORNS
Tustin, CA
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CRD#: 6561751
AN
Professional summary
Andrew Huan Le Nguyen, who also goes by Andrew Nguyen, is a registered financial advisor currently at ACORNS located in Tustin, California and ACORNS SECURITIES, LLC located in Irvine, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Andrew has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Nguyen
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.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Huan Le 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
April 1, 2020 - Present
ACORNS
RIA
CRD#: 165926
Tustin, CA
Current
January 7, 2020 - Present
ACORNS SECURITIES, LLC
Office #1: 5300 California Avenue, Irvine, CA 92617BD
CRD#: 168172
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".
AC
ACORNS
ACORNS | ACORNS ADVISERS, LLC
CRD#: 165926 / SEC#: 801-78602
RIA
Registered Investment Advisory firm - (9/23/2013 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
Alabama(3/24/2021)
RR
Alaska(3/24/2021)
RR
Arizona(3/24/2021)
RR
Arkansas(3/24/2021)
RR
California(4/1/2020)
IAR
California(4/1/2020)
RR
Colorado(3/24/2021)
RR
Connecticut(3/24/2021)
RR
Delaware(3/24/2021)
RR
District of Columbia(3/24/2021)
RR
Florida(3/24/2021)
RR
Georgia(3/24/2021)
RR
Hawaii(3/24/2021)
RR
Idaho(3/24/2021)
RR
Illinois(3/24/2021)
RR
Indiana(3/24/2021)
RR
Iowa(3/24/2021)
RR
Kansas(3/24/2021)
RR
Kentucky(3/24/2021)
RR
Louisiana(3/24/2021)
RR
Maine(3/24/2021)
RR
Maryland(3/24/2021)
RR
Massachusetts(3/24/2021)
RR
Michigan(3/24/2021)
RR
Minnesota(3/24/2021)
RR
Mississippi(3/24/2021)
RR
Missouri(3/24/2021)
RR
Montana(3/24/2021)
RR
Nebraska(3/24/2021)
RR
Nevada(3/24/2021)
RR
New Hampshire(3/24/2021)
RR
New Jersey(3/24/2021)
RR
New Mexico(3/24/2021)
RR
New York(3/24/2021)
RR
North Carolina(3/24/2021)
RR
North Dakota(3/24/2021)
RR
Ohio(3/25/2021)
RR
Oklahoma(3/24/2021)
RR
Oregon(3/24/2021)
RR
Pennsylvania(3/24/2021)
RR
Puerto Rico(3/24/2021)
RR
Rhode Island(3/24/2021)
RR
South Carolina(3/24/2021)
RR
South Dakota(3/24/2021)
RR
Tennessee(3/24/2021)
RR
Texas(3/24/2021)
RR
Utah(3/24/2021)
RR
Vermont(3/24/2021)
RR
Virgin Islands(3/24/2021)
RR
Virginia(3/24/2021)
RR
Washington(3/24/2021)
RR
West Virginia(3/24/2021)
RR
Wisconsin(3/24/2021)
RR
Wyoming(3/24/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/7/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ACORNS
ACORNS | ACORNS ADVISERS, LLC
CRD#: 165926 / SEC#: 801-78602
RIA
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Contact information
Main Address
5300 California Avenue, Irvine, CA 92617
Mailing Address
Phone number
(855) 739-2859
Established
Firm type
Fiscal year end
# of Employees
305
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,813,137 |
| AUM (Assets Under Management) | $ 10,380,859,924 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 11/28/2023 | ||
| 04/24/2023 |
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.
