Ha Nguyen is a CFP-designated registered investment advisor at LPL Financial LLC, based in Syracuse, NY, with 12 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
100 Madison Street, Suite 1300, Syracuse, NY, 13202
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Ha works as registered support staff at Balcom Investments since June 2024, assisting the branch manager and operations. This role takes up a full-time commitment.
Employment History
Current Registrations
LPL Financial LLC
Previous Registrations
Cadaret Grant & CO INC
Rockefeller Capital Management
Moser Wealth Advisors
Columbia Pacific Wealth Management
Kibble & Prentice Holding Company
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.