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PH

Phuc T. Hoang

DV SECURITIES
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 4870014
PH

Professional summary

Phuc The Hoang, who also goes by Phuc Hoang, is a registered financial professional currently at DV SECURITIES, LLC located in Chicago, Illinois.

Phuc is registered as a RR (Registered Representative) and started their career in finance in 2004. Phuc has worked at 3 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phuc Hoang

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) - BD

Click below to view Phuc The Hoang'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®
None

Experience

Current

December 5, 2022 - Present

DV SECURITIES, LLC

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605Office #2: 425 S. Financial Place Suite 2800, Chicago, IL 60605
BD
CRD#: 305134
Chicago, IL
Past

September 14, 2007 - November 12, 2008

DEPFA FIRST ALBANY SECURITIES, LLC

BD
CRD#: 144232
CHICAGO, IL
Past

December 3, 2004 - September 18, 2007

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/28/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/19/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/4/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/13/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/2/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DV SECURITIES, LLC
DV SECURITIES, LLC

CRD#: 305134 / SEC#: , 8-70393

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Phone number
(312) 837-0649
Established
Delaware since 05/26/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DV GROUP, LLCMEMBER
CARLINO, ERIC JAMESTRADING PRINCIPAL - CEO2898311
HORGAN, RICHARD JOHNCHIEF FINANCIAL OFFICER6697860
KATZ, SHIFRACHIEF COMPLIANCE OFFICER

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.

Company Information

DV SECURITIES, LLC

CRD#: 305134Chicago, IL 60605

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