Phi Q. 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.
Phi Quang Pham, who also goes by Phi Q Pham, Phi Pham, Phil Pham, Phillip Pham, was a registered financial professional .
Phi is a previously registered financial professional and started their career in finance in 2001. Phi had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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
December 10, 2015 - October 24, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 8, 2015 - October 24, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 5, 2015 - November 24, 2015
PNC WEALTH MANAGEMENT LLC
February 5, 2015 - November 24, 2015
PNC WEALTH MANAGEMENT LLC
September 8, 2011 - February 2, 2015
NATIONWIDE SECURITIES, LLC
August 11, 2011 - February 2, 2015
NATIONWIDE SECURITIES, LLC
March 4, 2010 - July 7, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 23, 2010 - July 7, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 26, 2007 - June 12, 2009
EQUITABLE ADVISORS, LLC
September 1, 2005 - June 12, 2009
EQUITABLE ADVISORS, LLC
October 24, 2001 - August 9, 2005
OSAIC FA, INC.
October 16, 2001 - August 9, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 16, 2001 - August 9, 2005
OSAIC FA, INC.
March 22, 2001 - October 5, 2001
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
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
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
CRD#: 20472 / SEC#: 801-63550, 8-44454
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | SOLE OWNER OF APPLICANT | |
| ABBOTT, ROSS HAMLET | PRESIDENT, CEO (INTERIM), CHIEF OPERATING OFFICER, ELECTED MANAGER | 2756063 |
| BARNHILL, HELEN GWYN | CHIEF LEGAL OFFICER | 2574877 |
| BELLUCCI, RAYMOND JOHN | ELECTED MANAGER | 1807977 |
| HEASLIP, DEREK JAMES | ELECTED MANAGER | 6318596 |
| INTIHAR, JEREMY ROSS | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 5040823 |
| LEWIS, BENJAMIN HERBERT | ELECTED MANAGER | 1687894 |
| MANGANO, JENNIFER LYNN | CHIEF FINANCIAL OFFICER | 7659359 |
| MUKHERJEE, NILADRI | ELECTED MANAGER | 5227234 |
| SARAVANAN, SHANKAR | VICE PRESIDENT, ELECTED MANAGER | 7789140 |
| STICKROD, CHRISTOPHER EUGENE | ELECTED MANAGER | 4627958 |
| WEINSTEIN, SCOTT WILLIAM | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 4324014 |
Regulatory assets under management
| Total Number of Accounts | 72,807 |
| AUM (Assets Under Management) | $ 34,343,329,152 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/13/2023 | ||
| 03/21/2023 |
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.
