Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelly? Claim Your ProfileKelly Pham is a registered representative with Charles Schwab & CO., Inc. Kelly has been in the securities industry for over 20 years. Kelly has a background in financial planning and portfolio management. Prior to joining Charles Schwab, Kelly worked at J.P. Morgan Securities LLC and Fidelity Brokerage Services LLC. Kelly has a Series 6, 7, 9, 10, 63 and 66 license. Kelly is registered to provide investment advice in 22 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
06/29/2022 - Present
Charles Schwab & CO., Inc. (Westlake TX)
CA
05/11/2018 - 06/17/2022
J.P. MORGAN SECURITIES LLC (Los Angeles CA)
CA
09/03/2015 - 05/07/2018
FIDELITY BROKERAGE SERVICES LLC (SANTA MONICA CA)
FL
08/23/2004 - 04/14/2015
FIDELITY BROKERAGE SERVICES LLC (CLEARWATER FL)
NY
11/16/2000 - 08/16/2004
NYLIFE SECURITIES INC. (NEW YORK NY)
BOTH
Issued 08/31/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/01/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/18/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/23/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2004
Series 7 - General Securities Representative Examination
BC
Issued 11/15/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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