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SP

Souryaphone S. Phomsavanh

FUTU CLEARING
Dallas, TX 75251
Some features on this profile are disabled
CRD#: 5157268
SP

Professional summary

Souryaphone Sou Sou Phomsavanh is a registered financial professional currently at FUTU CLEARING INC located in Dallas, Texas.

Souryaphone is registered as a RR (Registered Representative) and started their career in finance in 2010. Souryaphone has worked at 3 firms and has passed the Series 63, Series 3, Series 99TO, Series 7TO, Series 57, Series 34, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Souryaphone Sou Sou Phomsavanh'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 9, 2022 - Present

FUTU CLEARING INC

Office #1: 12750 Merit Drive Suite 475, Dallas, TX 75251
BD
CRD#: 298769
Dallas, TX
Past

April 16, 2014 - December 6, 2017

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
FORT WORTH, TX
Past

February 15, 2010 - April 16, 2014

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX

State Registrations and Notice Filings

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

RR
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

RR
Texas
(9/19/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/6/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 2/18/2025
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 99TO
Date: 12/10/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/22/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57
Date: 4/24/2017
Securities Trader Exam
General Industry/Product Exam
RR
Series 34
Date: 12/9/2011
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/10/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FUTU CLEARING INC
FUTU CLEARING INC

CRD#: 298769 / SEC#: , 8-70215

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

Main Address
12750 Merit Drive Suite 475, Dallas, TX 75251
Mailing Address
12750 Merit Drive Suite 475, Dallas, TX 75251
Phone number
(972) 665-6903
Established
Delaware since 08/13/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FUTU US INCOWNER
DU, SHUANGHEAD OF US OPERATIONS5005050
KELLY, PATRICK JAMESCHIEF EXECUTIVE OFFICER3126322
SHARMA, VICKRAMJITCHIEF LEGAL OFFICER7186502
SHEN, QIUFANGHEAD OF FINANCE3158926
STIFELMAN, GLEN ROBERTCHIEF COMPLIANCE OFFICER1699013

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

FUTU CLEARING INC

CRD#: 298769Dallas, TX 75251

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