Unclaimed Profile

Dung Thanh Nguyen

KNIGHT NGUYEN INVESTMENTS·KATY, Texas

SIE, Series 6, Series 7, Series 26, Series 63, Series 6610 years registeredKNIGHT NGUYEN INVESTMENTS

23603 W FERNHURST, KATY, TX 77494CRD# 4934343Firm CRD# 198517

Profile Verification

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

Identity

Dung Thanh Nguyen · KATY, TX

Registration

CRD #4934343 · KNIGHT NGUYEN INVESTMENTS · 10 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: KNIGHT NGUYEN INVESTMENTS

KNIGHT NGUYEN INVESTMENTS

Jun 2016 – Feb 2017

HOUSTON, TX

METLIFE SECURITIES INC.

Aug 2015 – Jul 2016

HOUSTON, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 26

Series 63

Series 66

Registration record

First registered · August 28, 2015

Years registered · 10

Disclosure History

2018Regulatory·Final

2016Employment Separation After Allegations

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

KNIGHT NGUYEN INVESTMENTS

CRD 198517 · SEC 801-107356

AUM

$27M

Regulatory assets under management

Employees

43 client accounts

Services offered by KNIGHT NGUYEN INVESTMENTS

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at KNIGHT NGUYEN INVESTMENTS →

Introduction

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Frequently Asked Questions

What services does Dung Thanh Nguyen offer?

Dung Thanh Nguyen specializes in Financial Planning, Investment Management, Wealth Management.

What are Dung Thanh Nguyen's credentials?

Dung Thanh Nguyen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Dung Thanh Nguyen located?

Dung Thanh Nguyen is based in KATY, Texas, last registered with KNIGHT NGUYEN INVESTMENTS.

How does Dung Thanh Nguyen charge for services?

Dung Thanh Nguyen's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees, other: administration fee. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is KNIGHT NGUYEN INVESTMENTS?

KNIGHT NGUYEN INVESTMENTS has approximately 3 employees and manages $27M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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