Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Viet? Claim Your ProfileViet Phan is a financial advisor who has been in the industry since 1993. Viet Phan is currently registered with UBS Financial Services Inc. in Plano, Texas. Prior to that, Viet Phan was registered with Fidelity Brokerage Services LLC in Dallas, Texas and Charles Schwab & Co., Inc. in Westlake, Texas. Viet Phan has passed the Series 6, 7, 9, 10, 63 and 66 exams. Viet Phan specializes in portfolio management for individuals and businesses, financial planning, pension consulting, selection of other advisors, and educational seminars.
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.
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.
See schedule d - miscellaneous
1
2
TX
11/19/2010 - Present
UBS Financial Services Inc. (PLANO TX)
TX
11/27/2000 - 11/29/2010
FIDELITY BROKERAGE SERVICES LLC (DALLAS TX)
TX
11/07/1995 - 11/16/2000
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
RI
09/01/1993 - 10/30/1995
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BOTH
Issued 04/27/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/05/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/1994
Series 7 - General Securities Representative Examination
BC
Issued 08/31/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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