Kim-Ha
Nguyen

U.S. Capital Wealth Advisors, LLC

CRD#4063673
Investment Advisor
in Austin, TX

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About this Advisor

Kim-Ha Nguyen is a certified financial planner who works out of Austin, Texas who has 2 years of relevant experience. Nguyen works at U.S. Capital Wealth Advisors, LLC. Throughout their career, Nguyen has worked at Usca Securities LLC, Usca Ria LLC and U.S. Capital Wealth Advisors, LLC. Nguyen holds Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative, and is able to advise clients in Texas. U.S. Capital Wealth Advisors, LLC is a business headquartered in Houston, TX. The investment advisory business has offices in six locations and a total of 122 financial advisors. It has $7 billion in assets across its 12,119 customer accounts, making it one of the largest firms in the country by assets under management. The firm provides financial advice to 17 charitable organizations. Of its 12,119 accounts, 34% are associated with high-net-worth individuals who have at least $1 million in assets. The firm has a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. Fees charged by financial advisors are based on which services the firm provides the client. Fees charged by U.S. Capital Wealth Advisors, LLC can be comprised of any blend of asset-based and fixed fees.

Certifications and Registrations

Series 63, Series 65, CERTIFIED FINANCIAL PLANNER™

Years Registered*

2 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Fixed Fees

Office Location

300 West 6Th Street Suite 1900
Austin, TX 78701

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U.S. Capital Wealth Advisors, LLC Brokerage Details

Total Assets Under Management

$6,495,736,809

TX Average: $3,042,739,679
Total Number of Employees

122

TX Average: 49
Total Number of Accounts

12,119

TX Average: 2,315
Average Account Size

$535,996

TX Average: $1,314,358

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Kim-Ha Nguyen Work History

Kim-Ha has been registered as a financial advisor for 2 years.*

2021 - Present (3 years)

U.S. Capital Wealth Advisors, LLC

2011 - Present (13 years)

Usca Securities LLC

2011 - 2021 (10 years)

Usca Ria LLC

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Kim-Ha Nguyen to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at U.S. Capital Wealth Advisors, LLC

Jessie Timmins
Austin, TX
Bradley Shields
Austin, TX
Charles Blanton
Houston, TX
George Howe
Austin, TX
Robert Bourland
Austin, TX
Patricia Trieglaff
Austin, TX
Andrew Yoo
Houston, TX
Richard Sieling
Austin, TX

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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