Tim Xuan Ha

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2014 → 10/2017
  Investment Centers Of America
  Roanoke, VA
• 10/2017 → 08/2021
  Cetera Advisor Networks
  El Segundo, CA
• 08/2015 → Present
  Valley Wealth Group
  Roanoke, VA
• 08/2021 → Present
  Lpl Financial, Llc
  Roanoke, VA

Previous Registrations

• 2017-10-20 → 2021-08-31
  Cetera Wealth Services, Llc
  Roanoke, VA
• 2014-07-08 → 2017-10-16
  Investment Centers Of America, Inc.
  Roanoke, VA
  Roanoke, VA
  Hardy, VA
  Roanoke, VA
  Roanoke, VA
• 2001-04-09 → 2014-05-19
  Equitable Advisors, Llc
  Roanoke, VA
  Roanoke, VA

Other Businesses

1. 08/15/2015 - VALLEY WEALTH GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ ROANOKE, VA 2. 05/10/2020 - TIM XUAN/ NON-VARIABLE INSURANCE/ INVESTMENT RELATED/ 10%/ ROANOKE, VA 3. 10/08/2021 - HA 3X INVESTMENT PROPERTY, LLC - Investment Related - Roanoke, VA 24019 - Real Estate Rental - Start Date: 10/01/2021 - 5 Hours Per Month/0 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  1999-06-22

Designations

• Certified Financial Planner

Other Names

• Tung X Ha
• Tim Ha
• Tung Xuan Ha