Steve N. 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.
Steve Ngoc Pham was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1999. Steve had worked at 6 firms and has passed the Series 65, Series 63, 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
January 16, 2013 - December 12, 2018
MERRIMAN
December 5, 2007 - January 16, 2013
MERRIMAN, LLC
November 6, 2002 - March 21, 2006
RAFFERTY CAPITAL MARKETS, LLC
April 18, 2001 - March 4, 2006
BADGLEY PHELPS WEALTH MANAGERS
May 9, 2000 - March 6, 2001
FSIC
April 7, 1999 - February 28, 2000
WMA SECURITIES, INC.
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
MERRIMAN
CRD#: 166580 / SEC#: 801-77544
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,370 |
| AUM (Assets Under Management) | $ 3,605,822,320 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/07/2023 |
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.
