Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Quang? Claim Your ProfileQuang Thi Phan is a financial advisor at Raymond James & Associates, Inc. based in San Jose, CA. Quang has been in the financial services industry since 2003 and has a broad range of experience. Quang is registered with the state of California as a broker-dealer and investment advisor. Quang holds the Series 6, 7, 63, and 65 licenses. Quang also holds the Certified Financial Planner (CFP) designation.
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.
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.
Please see note in schedule d - miscellaneous
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
11/21/2022 - Present
Raymond James & Associates, Inc. (San Jose CA)
CA
04/01/2009 - 01/26/2022
CUSO FINANCIAL SERVICES, L.P. (SAN JOSE CA)
CA
09/09/2008 - 04/02/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN JOSE CA)
CA
01/15/2008 - 09/15/2008
COUNTRYWIDE INVESTMENT SERVICES, INC. (SAN JOSE CA)
CA
08/13/2003 - 01/11/2008
FORESTERS EQUITY SERVICES, INC. (MARTINEZ CA)
MA
04/10/2003 - 08/13/2003
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
GA
03/04/2003 - 04/03/2003
WORLD GROUP SECURITIES, INC. (DULUTH GA)
IA
Issued 11/14/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/14/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2008
Series 7 - General Securities Representative Examination
BC
Issued 01/21/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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