Eric L. Nguyen

OAK HARVEST INVESTMENT SERVICES | Financial Consultant, Branches

Houston, TX 77024

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CRD#: 6872918

Professional summary

Eric Luan-trong Nguyen, CFP®, who also goes by Eric Nguyen, Eric Luan-trong Nguyen, is a registered financial advisor currently at OAK HARVEST INVESTMENT SERVICES located in Houston, Texas.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Eric has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Biography

As a Financial Consultant at Fidelity, I dedicate my time, expertise, and resources towards helping my clients review, simplify, and optimize their financial plans in order to guide them towards their personal and financial goals. My goal is to understand every client both personally and financially in order to provide a deep level of care into each relationship I build and to adapt to life as it evolves over time.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Investment Planning

Retirement Income Management

Retirement Planning

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Yes

Aliases

Eric Nguyen | Eric Luan-Trong 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.

Insurance Agent; Oak Harvest Insurance Services, LLC; Investment Related: No; 920 Memorial City Way HOUSTON, TX 77024; 2023-01-01; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 20;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Luan-trong Nguyen'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^®

Certified Financial Planner

Start date: 2022

Education

University of Houston

Bachelor of Science (BS) - Supply Chain and Logistics Management

2015

Experience

Current

April 5, 2023 - Present

OAK HARVEST INVESTMENT SERVICES

Office #1: 920 Memorial City Way Suite 150, Houston, TX 77024

RIA

CRD#: 173293

Houston, TX

Past

May 20, 2021 - March 16, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

HOUSTON, TX

Past

May 7, 2021 - March 10, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

June 26, 2020 - March 26, 2021

THRIVENT ADVISOR NETWORK, LLC

RIA

CRD#: 304569

Houston, TX

Past

January 29, 2020 - July 2, 2020

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

ALBANY, NY

Past

January 29, 2020 - March 24, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Houston, TX

Past

October 14, 2019 - January 29, 2020

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

AUSTIN, TX

Past

January 8, 2018 - January 29, 2020

EQUITABLE ADVISORS, LLC

CRD#: 6627

AUSTIN, 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".

OAK HARVEST INVESTMENT SERVICES

OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES

CRD#: 173293 / SEC#: 801-116667

RIA

Registered Investment Advisory firm - (5/22/2019 Approved)

Texas

Registered Investment Advisory firm - (6/3/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(4/5/2023)

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: 8/28/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/12/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/7/2018

General Securities Representative Examination

Current Firm

OAK HARVEST INVESTMENT SERVICES

OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES

CRD#: 173293 / SEC#: 801-116667

RIA

Registered Investment Advisory firm - (5/22/2019 Approved)

Texas

Registered Investment Advisory firm - (6/3/2019 Terminated)

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Contact information

Main Address

920 Memorial City Way Suite 150, Houston, TX 77024

Mailing Address

Phone number

(281) 822-1350

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - OAK HARVEST INVESTMENT SERVICES (8/8/2025)

Regulatory assets under management

Total Number of Accounts	2,633
AUM (Assets Under Management)	$ 940,834,408

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Eric L. Nguyen

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Luan-trong Nguyen's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Houston

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

THRIVENT ADVISOR NETWORK, LLC

PKS ADVISORY SERVICES, LLC

PURSHE KAPLAN STERLING INVESTMENTS

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

OAK HARVEST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2019

Series 63

Date: 12/12/2017

SIE

Date: 10/1/2018

Series 7

Date: 1/7/2018

Current Firm

OAK HARVEST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK HARVEST INVESTMENT SERVICES

TRUST BUT VERIFY

Contact information

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