Ha Nguyen
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Ha Nguyen is an investment adviser representative with LPL Financial LLC in Kirkland, WA, where they have been registered since 2025. They have worked in the securities industry since 2013 and have been registered with 6 firms, including Cadaret Grant & Co Inc and Rockefeller Capital Management. They have passed the Series 65 (investment adviser) exam. They are registered to provide investment advice in Washington.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Columbia Pacific Wealth ManagementMay 2015 – Mar 2022Seattle, WA
- Moser Wealth AdvisorsMar 2022 – Sep 2022Bellevue, WA
- Rockefeller Financial LLCJan 2023 – May 2024Bellevue, WA
- UnemployedSep 2022 – Dec 2022Seattle, WA
- Cadaret, Grant & Co., Inc.Jun 2024 – Jul 2025Kirkland, WA
- LPL Financial LLCJul 2025 – no end date reportedKirkland, WA
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
Showing 12 of 24,114 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Ha Nguyen has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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