Phu M. Roy O

SHEETS SMITH WEALTH MANAGEMENT

Winston Salem, NC 27104-4680

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CRD#: 3034370

Professional summary

Phu Minh Roy O, who also goes by Phu Minh O, is a registered financial advisor currently at SHEETS SMITH WEALTH MANAGEMENT located in Winston Salem, North Carolina.

Phu is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Phu has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phu Minh O

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) - RIA

Click below to view Phu Minh Roy O's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 25, 2013 - Present

SHEETS SMITH WEALTH MANAGEMENT

Office #1: 120 Club Oaks Court Suite 200, Winston Salem, NC 27104-4680

RIA

CRD#: 105710

Winston Salem, NC

Past

July 20, 2004 - December 31, 2008

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PITTSBURGH, PA

Past

December 13, 2001 - June 24, 2004

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

April 23, 1998 - December 2, 1999

UAM FUND DISTRIBUTORS, INC.

CRD#: 24364

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHEETS SMITH WEALTH MANAGEMENT

SHEETS SMITH & ASSOCIATES INC | SHEETS SMITH WEALTH MANAGEMENT | SHEETS SMITH INVESTMENT MANAGEMENT, LLC (RELYING ADVISOR)

CRD#: 105710 / SEC#: 801-31437

RIA

Registered Investment Advisory firm - (2/12/1988 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(11/25/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/22/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHEETS SMITH WEALTH MANAGEMENT

SHEETS SMITH & ASSOCIATES INC | SHEETS SMITH WEALTH MANAGEMENT | SHEETS SMITH INVESTMENT MANAGEMENT, LLC (RELYING ADVISOR)

CRD#: 105710 / SEC#: 801-31437

RIA

Registered Investment Advisory firm - (2/12/1988 Approved)

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Contact information

Main Address

120 Club Oaks Court Suite 200, Winston Salem, NC 27104-4680

Mailing Address

Phone number

(336) 765-2020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1,039
AUM (Assets Under Management)	$ 1,244,346,361

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.

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Phu M. Roy O

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phu Minh Roy O's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHEETS SMITH WEALTH MANAGEMENT

FORESIDE FUND SERVICES, LLC

FUNDS DISTRIBUTOR, LLC

UAM FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

SHEETS SMITH WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/2013

Series 63

Date: 6/23/1998

Series 6

Date: 4/22/1998

Current Firm

SHEETS SMITH WEALTH MANAGEMENT

Contact information

SEC notice filing (10 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

SHEETS SMITH WEALTH MANAGEMENT

TRUST BUT VERIFY

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