Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phuong? Claim Your ProfilePhuong Lam is a financial advisor who has been in the industry since 2015. Phuong is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2023. Phuong also has previous experience with J.P. Morgan Securities LLC and Chase Investment Services Corp. Phuong holds Series 6, 7, 63, and 66 licenses, and the SIE exam. Phuong is licensed in California, Oregon, Washington and New Jersey. Phuong specializes in investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for individuals and businesses.
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
09/18/2023 - Present
Wells Fargo Clearing Services, LLC (SANTA ROSA CA)
CA
08/21/2017 - 09/19/2023
J.P. MORGAN SECURITIES LLC (SANTA ROSA CA)
CA
10/01/2012 - 04/29/2013
J.P. MORGAN SECURITIES LLC (PETALUMA CA)
CA
12/20/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (PETALUMA CA)
BOTH
Issued 09/22/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/17/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/2017
Series 7 - General Securities Representative Examination
BC
Issued 12/17/2010
Series 6 - Investment Company Products/Variable Contracts 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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