Sean N. Pham

OCEAN PARK ASSET MANAGEMENT

IRVINE, CA

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CRD#: 5092586

Professional summary

Sean Nguyen Pham, who also goes by Nam Nguyen Pham, Nam Pham, Sean Nguyen Pham, is a registered financial advisor currently at OCEAN PARK ASSET MANAGEMENT, LLC located in Irvine, California and NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Sean has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nam Nguyen Pham | Nam Pham | Sean Nguyen 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Nguyen Pham's CRS (Customer Relationship Summary).

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, 2024 - Present

OCEAN PARK ASSET MANAGEMENT, LLC

RIA

CRD#: 145634

IRVINE, CA

Current

January 23, 2018 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

CRD#: 126159

Elkhorn, NE

Past

August 28, 2018 - December 23, 2024

SIERRA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106615

SANTA MONICA, CA

Past

May 24, 2013 - January 31, 2017

CAPITAL CLIENT GROUP, INC.

RIA

CRD#: 6247

IRVINE, CA

Past

April 5, 2007 - January 31, 2017

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

IRVINE, CA

Past

March 27, 2006 - February 26, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NEWPORT BEACH, 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".

OCEAN PARK ASSET MANAGEMENT, LLC

OCEAN PARK ASSET MANAGEMENT, LLC | WRIGHT FUND MANAGEMENT, LLC | SIERRA MUTUAL FUNDS | OCEAN PARK MUTUAL FUNDS | OCEAN PARK ETFS

CRD#: 145634 / SEC#: 801-68554

RIA

Registered Investment Advisory firm - (11/30/2007 Approved)

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.

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

Arizona
(6/8/2018)

Arkansas
(6/15/2018)

California
(1/23/2018)

IAR

California
(12/5/2024)

Colorado
(6/11/2018)

Louisiana
(6/6/2018)

Montana
(6/8/2018)

Nebraska
(9/5/2023)

Nevada
(6/15/2018)

New Mexico
(6/6/2018)

Oklahoma
(6/7/2018)

Oregon
(6/5/2018)

Texas
(6/6/2018)

Utah
(6/6/2018)

Washington
(6/6/2018)

Wyoming
(6/7/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/23/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/21/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/1/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/23/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OCEAN PARK ASSET MANAGEMENT, LLC

OCEAN PARK ASSET MANAGEMENT, LLC | WRIGHT FUND MANAGEMENT, LLC | SIERRA MUTUAL FUNDS | OCEAN PARK MUTUAL FUNDS | OCEAN PARK ETFS

CRD#: 145634 / SEC#: 801-68554

RIA

Registered Investment Advisory firm - (11/30/2007 Approved)

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Contact information

Main Address

3420 Ocean Park Blvd. Ste 3060, Santa Monica, CA 90405

Mailing Address

Phone number

(310) 452-1887

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OCEAN PARK ASSET MANAGEMENT, LLC FORM ADV PART 2A BROCHURE (3/31/2025)

OCEAN PARK ASSET MANAGEMENT, LLC JOINT ADVISORY PROGRAM WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	292
AUM (Assets Under Management)	$ 4,872,145,667

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.

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Advisor Monitoring

Firm Stability Insights

Sean N. Pham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Nguyen Pham's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

SIERRA INVESTMENT MANAGEMENT, LLC

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

OCEAN PARK ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/23/2013

Series 63

Date: 3/21/2006

Series 7TO

Date: 7/1/2024

SIE

Date: 10/1/2018

Series 6

Date: 3/23/2006

FINRA

Current Firm

OCEAN PARK ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OCEAN PARK ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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