Luong Pham
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Luong Pham was a registered financial professional .
Luong is a previously registered financial professional and started their career in finance in 1996. Luong had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2022 - February 27, 2026
AXIM PLANNING & WEALTH
May 24, 2019 - April 27, 2022
CETERA ADVISORS LLC
May 24, 2019 - April 27, 2022
CETERA ADVISORS LLC
December 12, 2017 - June 27, 2019
TCFG INVESTMENT ADVISORS, LLC
December 12, 2017 - January 25, 2018
TCFG WEALTH MANAGEMENT, LLC
December 1, 2017 - December 12, 2017
UNITED ADVISORS SERVICES, LLC
December 1, 2017 - December 12, 2017
FSIC
December 14, 2012 - December 13, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2012 - December 13, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 5, 2009 - January 7, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - January 7, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
March 24, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 20, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 17, 2006 - April 14, 2009
CITIGROUP GLOBAL MARKETS INC.
April 13, 2006 - April 14, 2009
CITIGROUP GLOBAL MARKETS INC.
September 19, 2002 - May 4, 2006
UBS FINANCIAL SERVICES INC.
November 23, 2001 - May 4, 2006
UBS FINANCIAL SERVICES INC.
May 24, 1999 - November 28, 2001
EDWARD JONES
December 16, 1996 - June 7, 1999
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
AXIM PLANNING & WEALTH
CRD#: 319618 / SEC#: 801-124695
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AXIM PLANNING & WEALTH
CRD#: 319618 / SEC#: 801-124695
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 678 |
| AUM (Assets Under Management) | $ 127,235,713 |
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.
