LD
Linh P. Dipippa
MMA SECURITIES LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 4136936
LD
Professional summary
Linh Pham Dipippa, AIF®, who also goes by Linh Dang Pham, is a registered financial advisor currently at MMA SECURITIES LLC located in San Francisco, California.
Linh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Linh has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Linh Dang 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.
(1) The Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA"), 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities LLC activities remain subject to the Firm's supervisory framework. (2) CHARITIES HOUSING; ADDRESS: 1400 PARKMOOR AVE., STE 190, SAN JOSE, CA 95126; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 05/15/2018; CAPACITY: BOARD OF DIRECTORS; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
CRS (Client Relationship Summary) - RIA
Click below to view Linh Pham Dipippa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Linh Pham Dipippa'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®
Experience
Current
October 7, 2019 - Present
MMA SECURITIES LLC
Office #1: 201 California Street, Suite 900, San Francisco, CA 94111RIA
BD
CRD#: 44254
San Francisco, CA
Current
April 26, 2019 - Present
MMA SECURITIES LLC
Office #1: 201 California Street, Suite 900, San Francisco, CA 94111RIA
BD
CRD#: 44254
San Francisco, CA
Past
June 22, 2016 - May 15, 2018
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SAN FRANCISCO, CA
Past
September 28, 2012 - May 26, 2016
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
SAN FRANCISCO, CA
Past
March 3, 2000 - November 6, 2012
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
SAN FRANCISCO, CA
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".
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
CRD#: 44254 / SEC#: 801-100377, 8-50591
RIA
Registered Investment Advisory firm - SEC (7/7/2015 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/23/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/2/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.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
California(4/26/2019)
IAR
California(10/7/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MMA SECURITIES LLC
COMPASS FINANCIAL PARTNERS | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
CRD#: 44254 / SEC#: 801-100377, 8-50591
RIA
Registered Investment Advisory firm - SEC (7/7/2015 Approved)Connecticut
Registered Investment Advisory firm - SEC (5/23/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/2/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1166 Avenue Of The Americas, New York, NY 10036
Mailing Address
1166 Avenue Of The Americas, New York, NY 10036
Phone number
(917) 625-4069
Established
New Jersey since 02/03/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
179
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
