Ha Nguyen

Current Employers

Employment History

• 05/2015 → 03/2022
  Columbia Pacific Wealth Management
  Seattle, WA
• 03/2022 → 09/2022
  Moser Wealth Advisors
  Bellevue, WA
• 01/2023 → 05/2024
  Rockefeller Financial Llc
  Bellevue, WA
• 09/2022 → 12/2022
  Unemployed
  Seattle, WA
• 06/2024 → 07/2025
  Cadaret, Grant & Co., Inc.
  Kirkland, WA
• 07/2025 → Present
  Lpl Financial Llc
  Kirkland, WA

Previous Registrations

• 2024-09-18 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Syracuse, NY
  Kirkland, WA
• 2023-05-30 → 2024-06-10
  Rockefeller Financial Llc
  San Francisco, CA
  Bellevue, WA
• 2022-06-15 → 2022-09-07
  Moser Wealth Advisors
  Bellevue, WA
• 2015-05-13 → 2022-03-23
  Columbia Pacific Wealth Management
  Seattle, WA
• 2012-01-26 → 2015-05-01
  Kibble & Prentice Holding Company
  Seattle, WA

Other Businesses

1. 07/10/2025- Balcom Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 06/26/2024- 173 Hours Per Month- 173 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-12-29

Designations

Other Names

• Ha Thi-Thanh Nguyen
• Ha Thi Thanh Nguyen