Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nga? Claim Your ProfileNga T. Phan is a financial professional with experience in the industry since 2015. Nga is currently registered with MM Ascend Life Investor Services, LLC in Cincinnati, OH. Previously, Nga was registered with PNC Investments, LPL Financial LLC, and BBVA Securities Inc. Nga holds the Series 6, Series 63, and SIE licenses.
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.
Maintaining registration but not actively providing advisory services
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.
Maintaining registration but not serving clients
1
2
OH
08/18/2022 - Present
MM Ascend Life Investor Services, LLC (CINCINNATI OH)
CA
12/21/2021 - 08/16/2022
PNC INVESTMENTS (STOCKTON CA)
CA
06/01/2021 - 12/09/2021
LPL FINANCIAL LLC (FREMONT CA)
CA
09/24/2015 - 06/01/2021
BBVA SECURITIES INC. (MANTECA CA)
BC
Issued 10/29/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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