Unclaimed Profile

Thuong-Thao Nguyen Buu-Hoan

RICE HALL JAMES & ASSOCIATES LLC·SAN DIEGO, California

Series 63, Series 65Clean record25 years registeredRICE HALL JAMES & ASSOCIATES LLC

600 WEST BROADWAY SUITE 1000, SAN DIEGO, CA 92101CRD# 4551637Firm CRD# 125410

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thuong-Thao Nguyen Buu-Hoan · SAN DIEGO, CA

Registration

CRD #4551637 · RICE HALL JAMES & ASSOCIATES LLC · 25 years registered

Brand Profile

Not yet started

Career History

RICE HALL JAMES & ASSOCIATES LLC

Apr 2010 – present

RICE HALL JAMES & ASSOCIATES LLC

Mar 2003 – Nov 2007

SAN DIEGO, CA

RICE HALL JAMES & ASSOCIATES

Feb 2001 – Mar 2003

SAN DIEGO, CA

Registrations & Exams

FINRA examinations passed

Series 63

Series 65

Registration record

First registered · February 22, 2001

Years registered · 25

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

RICE HALL JAMES & ASSOCIATES LLC

CRD 125410 · SEC 801-61905

AUM

$1.7B

Regulatory assets under management

Employees

286 client accounts

Services offered by RICE HALL JAMES & ASSOCIATES LLC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

Pension & Retirement Plans

View all advisors at RICE HALL JAMES & ASSOCIATES LLC →

Introduction

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Frequently Asked Questions

What services does Thuong-Thao Nguyen Buu-Hoan offer?

Thuong-Thao Nguyen Buu-Hoan specializes in Investment Management, Retirement Planning, Wealth Management. Contact their office in SAN DIEGO, California for a consultation.

What are Thuong-Thao Nguyen Buu-Hoan's credentials?

Thuong-Thao Nguyen Buu-Hoan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thuong-Thao Nguyen Buu-Hoan located?

Thuong-Thao Nguyen Buu-Hoan is based in SAN DIEGO, California, working with RICE HALL JAMES & ASSOCIATES LLC. Their office serves clients in the SAN DIEGO metropolitan area and surrounding communities.

How does Thuong-Thao Nguyen Buu-Hoan charge for services?

Thuong-Thao Nguyen Buu-Hoan's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RICE HALL JAMES & ASSOCIATES LLC?

RICE HALL JAMES & ASSOCIATES LLC has approximately 27 employees and manages $1.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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