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Inactive

Hung Phuc Nguyen

Guardian Financial Partners, LLC

Orange, CA

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Current Employers
Guardian Financial Partners, Llc

635 E. Chapman Ave., Orange, CA 92866 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-04-28
TX RA APPROVED 2017-04-28
  • CA RA
    APPROVED
    Since 2017-04-28
  • TX RA
    APPROVED
    Since 2017-04-28

Branch Locations

635 E. Chapman Ave., Orange, CA 92866 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Irvine CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Irvine CA 11/2016 04/2017
Guardian Financial Partners, Llc Orange CA 04/2017 Present
Previous Registrations
  • 2003-07-01 → 2017-05-01
    Wells Fargo Clearing Services, Llc
    Newport Beach, CA
    Newport Beach, CA
    Irvine, CA
  • 1997-07-08 → 2003-07-01
    Prudential Equity Group, Llc
    Newport Bch, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-10-27
S65 Uniform Investment Adviser Law Examination 1997-10-24
  • S63 Uniform Securities Agent State Law Examination
    1997-10-27
  • S65 Uniform Investment Adviser Law Examination
    1997-10-24
Designations

View on SEC IAPD

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Other Offices

TRANSAMERICA FINANCIAL ADVISORS, LLC · ORANGE, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · Orange, CA
ARIS FUND I · ORANGE, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · ORANGE, CA
LPL FINANCIAL LLC · ORANGE, CA
PFS INVESTMENTS INC. · ORANGE, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Orange, CA
B.B. GRAHAM & COMPANY, INC. · ORANGE, CA

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