Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phong? Claim Your ProfilePhong Vu is a financial advisor with Fidelity Personal And Workplace Advisors. Phong has been in the industry since 2009 and holds a Series 6, 7, 63 and 66 license. Phong is registered to provide investment advice in 36 states including Texas, Massachusetts, and California. Prior to joining Fidelity Personal And Workplace Advisors, Phong has also worked with firms such as Northwestern Mutual Investment Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and J.P. Morgan Securities LLC. Phong has a strong track record of helping clients achieve their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
MA
07/13/2018 - Present
Fidelity Personal AND Workplace Advisors (BOSTON MA)
TX
12/04/2014 - 03/16/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (HOUSTON TX)
TX
06/25/2014 - 10/21/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
10/01/2012 - 06/03/2014
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
TX
08/26/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (HOUSTON TX)
BOTH
Issued 11/16/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 9/8/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/11/2014
Series 7 - General Securities Representative Examination
BC
Issued 8/24/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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