Sean N. Pham
Professional summary
Sean N Pham, who also goes by Nam Nguyen Pham, Nam Pham, Sean Nguyen Pham, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2006. Sean has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean N Pham's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 14, 2026 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416December 5, 2024 - February 11, 2026
OCEAN PARK ASSET MANAGEMENT, LLC
August 28, 2018 - December 23, 2024
SIERRA INVESTMENT MANAGEMENT, LLC
January 23, 2018 - February 12, 2026
NORTHERN LIGHTS DISTRIBUTORS, LLC
May 24, 2013 - January 31, 2017
CAPITAL CLIENT GROUP, INC.
April 5, 2007 - January 31, 2017
CAPITAL CLIENT GROUP, INC.
March 27, 2006 - February 26, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/23/2026)
(4/15/2026)
(4/28/2026)
(4/15/2026)
Exams
Series 7TO
Date: 7/1/2024
General Securities Representative ExaminationFINRA
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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