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Thuong-Thao Nguyen Buu-Hoan

Rice Hall James & Associates LLC

San Diego, CA

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Current Employers
Rice Hall James & Associates Llc

600 West Broadway Suite 1000, San Diego, CA 92101 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2010-07-12
TX RA APPROVED_RES 2010-04-30
  • CA RA
    APPROVED
    Since 2010-07-12
  • TX RA
    APPROVED_RES
    Since 2010-04-30

Branch Locations

600 West Broadway, Suite 1000, San Diego, CA 92101 • 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
Rice Hall James & Associates Llc San Diego CA 02/2003 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-07-09
S63 Uniform Securities Agent State Law Examination 2001-01-08
  • S65 Uniform Investment Adviser Law Examination
    2010-07-09
  • S63 Uniform Securities Agent State Law Examination
    2001-01-08

View on SEC IAPD

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