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TF

Theodore D. Fahman

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CRD#: 2023322
TF

Professional summary

Theodore Dack Fahman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Theodore is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Theodore had worked at 1 firm, which includes PROVIDENTIAL SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pham Fahman | Thoai Fahman | Thoai Pham

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 15, 1997 - December 13, 2000

PROVIDENTIAL SECURITIES, INC.

BD
CRD#: 31189
FOUNTAIN VALLEY, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/31/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/9/2000
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/15/1997
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/25/1997
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/20/1997
General Securities Principal Examination

Current Firm

PS
PROVIDENTIAL SECURITIES, INC.
PROVIDENTIAL SECURITIES, INC.

CRD#: 31189 / SEC#: , 8-45452

BD
Terminated by SEC on 12/30/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 10/08/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FAHMAN, HENRY DACKCHAIRMAN & CEO, CHIEF COMPLIANCE OFFICER1952649
LE, NHI TRONGVICE CHAIRMAN
NGUYEN, HUNG HUUDIRECTOR1591030
DOAN, MYAN THISHAREHOLDER2311231
FAHMAN, TIMOTHY DACKSHAREHOLDER2311233
PHAN, TINA TRANGVP - OPERATIONS2311234

Disclosures

Regulatory Event4
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PROVIDENTIAL SECURITIES, INC.

CRD#: 31189

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