Johnny M. Phan
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.
Johnny Minh Phan was a registered financial professional .
Johnny is a previously registered financial professional and started their career in finance in 2002. Johnny had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2012 - March 19, 2014
E.J. DE LA ROSA & CO., INC.
May 9, 2008 - May 21, 2012
WEDBUSH SECURITIES INC.
May 15, 2002 - April 15, 2008
E.J. DE LA ROSA & CO., 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
E.J. DE LA ROSA & CO., INC.
CRD#: 25334 / SEC#: , 8-41674
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | HOLDING COMPANY | |
| AMEZCUA, RAUL | VICE PRESIDENT/ BACK-UP FINOP | 2178989 |
| DELAROSA, EDWARD JOHN | PRESIDENT | 1988781 |
| HOLMES, RALPH JASON | VICE PRESIDENT | 3025535 |
| KIM, JOHN WILLIAM | VICE PRESIDENT | 2908386 |
| RAITANO, ARTHUR EDWARD | FINOP/CFO/CCO/ROSFP | 1007119 |
| ROSENSTIEL, PAUL ANDREW | VICE PRESIDENT | 1466513 |
| STERN, BENJAMIN EYTAN | VICE PRESIDENT | 2056214 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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