Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phat? Claim Your ProfilePhat Chanh Lam is a financial advisor at Wells Fargo Clearing Services, LLC. Phat has been working in the financial industry since 2004 and has experience with various financial products and services. Phat has a strong understanding of the investment process and is dedicated to providing clients with personalized financial advice. Phat has held previous positions at J.P. Morgan Securities LLC and Wells Fargo Advisors, LLC. Phat has been registered with FINRA since 2004 and is a licensed agent in the state of California.
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
10/19/2021 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
01/02/2020 - 05/21/2021
J.P. MORGAN SECURITIES LLC (VISTA CA)
CA
01/03/2011 - 11/07/2011
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
CA
03/08/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN DIEGO CA)
BOTH
Issued 10/18/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/14/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/20/2021
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/19/2019
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2004
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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