Henry Hien Phan

KERA CAPITAL PARTNERS

CHICAGO, IL

Some features on this profile are disabled

CRD#: 6906295

Professional summary

Henry Hien Phan, who also goes by Henry-hien Thich Phan, is a registered financial advisor currently at KERA CAPITAL PARTNERS located in Chicago, Illinois.

Henry Hien is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Henry Hien has worked at 1 firm and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Henry-Hien Thich Phan

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 Henry Hien Phan'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®

None

Experience

Current

March 10, 2021 - Present

KERA CAPITAL PARTNERS

RIA

CRD#: 312875

CHICAGO, IL

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".

KERA CAPITAL PARTNERS

KERA CAPITAL PARTNERS | KERA CAPITAL PARTNERS, INC.

CRD#: 312875 / SEC#: 801-120454

RIA

Registered Investment Advisory firm - (3/9/2021 Approved)

California

Registered Investment Advisory firm - (12/23/2021 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

California
(3/10/2021)

IAR

Illinois
(12/19/2022)

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 65

Date: 1/22/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 2/11/2019

Securities Industry Essentials Examination

Current Firm

KERA CAPITAL PARTNERS

KERA CAPITAL PARTNERS | KERA CAPITAL PARTNERS, INC.

CRD#: 312875 / SEC#: 801-120454

RIA

Registered Investment Advisory firm - (3/9/2021 Approved)

California

Registered Investment Advisory firm - (12/23/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1760 The Alameda, San Jose, CA 95126

Mailing Address

4101 J Street Suite 230, Sacremento, CA 95819

Phone number

(408) 668-2201

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (7/16/2025)

Regulatory assets under management

Total Number of Accounts	889
AUM (Assets Under Management)	$ 1,069,762,426

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Henry Hien Phan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Henry Hien Phan's CRS (Customer Relationship Summary).

Certified licenses

Experience

KERA CAPITAL PARTNERS

Primary Firm SEC Registration

KERA CAPITAL PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2021

SIE

Date: 2/11/2019

Current Firm

KERA CAPITAL PARTNERS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KERA CAPITAL PARTNERS

TRUST BUT VERIFY

Similar Advisors