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RIA / WealthAdvisorCertified Financial Planner12 years in industry

ERIC Luan-Trong NGUYEN

Advisor at OAK HARVEST INVESTMENT SERVICES

HOUSTON, TX

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Search this name across graphsid dfx:ria:89da97c5-71db-e048-7f99-1859f40fdafa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 14, 2019 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OAK HARVEST INVESTMENT SERVICES
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Dec 12, 2017
First registration: Oct 14, 2019
Dual registered: no
Other names: ERIC NGUYEN|Eric Luan-Trong Nguyen
IAPD individual key: 6872918

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OAK HARVEST INVESTMENT SERVICES	Independent wealth	Apr 5, 2023	n/a	yes	HOUSTON, TX	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	May 20, 2021	Mar 16, 2023	no	HOUSTON, TX	Previous registration
THRIVENT ADVISOR NETWORK, LLC	Bd affiliated wealth	Jun 26, 2020	Mar 26, 2021	no	MINNEAPOLIS, MN\|Houston, TX	Previous registration
PKS ADVISORY SERVICES, LLC	Independent wealth	Jan 29, 2020	Jul 2, 2020	no	ALBANY, NY	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Oct 14, 2019	Jan 29, 2020	no	Stafford, TX\|AUSTIN, TX\|AUSTIN, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIDELITY PERSONAL AND WORKPLACE ADVISORS	OAK HARVEST INVESTMENT SERVICES	Mar 16, 2023	Apr 5, 2023	20	Firm change	Ibd to RIA
THRIVENT ADVISOR NETWORK, LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Mar 26, 2021	May 20, 2021	55	Firm change	Ibd to ibd
PKS ADVISORY SERVICES, LLC	THRIVENT ADVISOR NETWORK, LLC	Jul 2, 2020	Jun 26, 2020	-6	Bulk transfer	RIA to RIA
EQUITABLE ADVISORS, LLC	PKS ADVISORY SERVICES, LLC	Jan 29, 2020	Jan 29, 2020	0	Firm change	Ibd to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6627:125648:TX:2020-01-29	Jan 29, 2020	Jan 29, 2020	AUSTIN, TX	Firm change

Relationships

Registered with (5)

→ OAK HARVEST INVESTMENT SERVICESRegistered adviserregistration: current employment
Apr 5, 2023 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
May 20, 2021 to Mar 16, 2023factForm ADV
→ THRIVENT ADVISOR NETWORK, LLCRegistered adviserregistration: previous registration
Jun 26, 2020 to Mar 26, 2021factForm ADV
→ PKS ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Jan 29, 2020 to Jul 2, 2020factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 14, 2019 to Jan 29, 2020factForm ADV

Dated events

Occurred
Mar 16, 2023
Advisor changed firm
Eric Luan-Trong Nguyen left Fidelity Personal And Workplace Advisors for Oak Harvest Investment Services (registered 2023-04-05)
Form ADVobserved 4 days ago