Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ly? Claim Your ProfileLy Huu thien Pham is an investment advisor representative with Wells Fargo Clearing Services, LLC. Ly has been in the financial services industry since 2006. Ly has a Series 66 license, a Series 7 license and a Series 7TO license. Ly has worked at a number of financial institutions, including Citigroup Global Markets Inc. and Ameriprise Financial Services, Inc. Ly holds specializations in Fixed Income, Equity, Mutual Funds, Options and Annuities.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
10/26/2021 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
12/03/2008 - 07/19/2011
CITIGROUP GLOBAL MARKETS INC. (SANTA ANA CA)
CA
02/22/2006 - 12/14/2007
AMERIPRISE FINANCIAL SERVICES, INC. (IRVINE CA)
BOTH
Issued 10/25/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/30/2021
Series 7TO - General Securities Representative Examination
BC
Issued 08/25/2021
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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