HP
Huy Q. Pham
ALLY INVEST SECURITIES LLC
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 2832067
HP
Professional summary
Huy Quang Pham, who also goes by Henry Pham, is a registered financial professional currently at ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.
Huy is registered as a RR (Registered Representative) and started their career in finance in 1997. Huy has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Henry 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.
CRS (Client Relationship Summary) - BD
Click below to view Huy Quang Pham's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 30, 2012 - Present
ALLY INVEST SECURITIES LLC
Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202BD
CRD#: 136131
Charlotte, NC
Past
October 26, 2006 - December 20, 2012
ZECCO TRADING, INC.
BD
CRD#: 135398
GLENDALE, CA
Past
October 20, 1999 - February 22, 2005
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
April 18, 1997 - June 2, 1999
PIM FINANCIAL SERVICES, INC.
BD
CRD#: 10547
SAN MARCOS, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/4/2013)
RR
Alaska(1/4/2013)
RR
Arizona(1/4/2013)
RR
Arkansas(1/4/2013)
RR
California(1/4/2013)
RR
Colorado(1/4/2013)
RR
Connecticut(1/4/2013)
RR
Delaware(1/4/2013)
RR
District of Columbia(1/4/2013)
RR
Florida(9/19/2012)
RR
Georgia(1/4/2013)
RR
Hawaii(1/4/2013)
RR
Idaho(1/4/2013)
RR
Illinois(1/4/2013)
RR
Indiana(1/4/2013)
RR
Iowa(1/4/2013)
RR
Kansas(1/4/2013)
RR
Kentucky(1/4/2013)
RR
Louisiana(1/4/2013)
RR
Maine(1/4/2013)
RR
Maryland(1/4/2013)
RR
Massachusetts(1/4/2013)
RR
Michigan(1/4/2013)
RR
Minnesota(1/4/2013)
RR
Mississippi(1/4/2013)
RR
Missouri(1/4/2013)
RR
Montana(1/4/2013)
RR
Nebraska(1/4/2013)
RR
Nevada(1/4/2013)
RR
New Hampshire(1/4/2013)
RR
New Jersey(1/4/2013)
RR
New Mexico(1/4/2013)
RR
New York(1/4/2013)
RR
North Carolina(1/4/2013)
RR
North Dakota(1/4/2013)
RR
Ohio(1/4/2013)
RR
Oklahoma(1/4/2013)
RR
Oregon(1/4/2013)
RR
Pennsylvania(1/4/2013)
RR
Puerto Rico(1/4/2013)
RR
Rhode Island(1/4/2013)
RR
South Carolina(1/4/2013)
RR
South Dakota(1/4/2013)
RR
Tennessee(1/4/2013)
RR
Texas(1/4/2013)
RR
Utah(1/4/2013)
RR
Vermont(1/4/2013)
RR
Virginia(1/4/2013)
RR
Washington(1/4/2013)
RR
West Virginia(1/4/2013)
RR
Wisconsin(1/4/2013)
RR
Wyoming(1/4/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/27/2010
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALLY INVEST SECURITIES LLC
ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.
CRD#: 136131 / SEC#: , 8-66982
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
601 S Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
P.o. Box 30248, Charlotte, NC 28230
Phone number
(855) 880-2559
Established
Delaware since 08/23/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
