CP
Cherry T. Phan
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CRD#: 5193163
CP
Cherry Thi 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.
Cherry Thi Phan was a registered financial professional .
Cherry is a previously registered financial professional and started their career in finance in 2007. Cherry had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
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.
(1) Cibolo Al, LLC; Start date: 10/2022; Software Company; No title, passive investor, Austin, TX 78746, Non Investment Related, 00 Hours/Month; 00 Hours/During Trading Hours; No duties, passive investor.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 26, 2024 - September 14, 2026
XYPN SAPPHIRE
RIA
CRD#: 285967
Austin, TX
Past
August 30, 2016 - October 3, 2023
MASLOW WEALTH ADVISORS
RIA
CRD#: 107722
AUSTIN, TX
Past
February 21, 2013 - February 24, 2015
DFA SECURITIES LLC
BD
CRD#: 10292
AUSTIN, TX
Past
October 18, 2007 - December 21, 2012
LORING WARD SECURITIES INC.
BD
CRD#: 46337
SAN JOSE, 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".
XS
XYPN SAPPHIRE
ADELPHI LLC | XYPN SAPPHIRE | XYPN INVEST | XYIS | XY INVESTMENT SOLUTIONS, LLC | WINDJAMMER WEALTH | WEALTHPEACE | WEALTH MANAGEMENT OF ALABAMA | WBI ADVISORY | VONERA, LLC | VONERA WEALTH | VITA WEALTH MANAGEMENT | VERBATIM FINANCIAL | TURNING POINT FINANCIAL LIFE PLANNING | TROPHY POINT FINANCIAL PLANNING | THE GREEN GROUP WEALTH MANAGEMENT | THE CROSSROADS | TENERE WEALTH ADVISORS | TEN RING WEALTH ADVISORS | STRINGER ASSET MANAGEMENT, LLC | SETZER FINANCIAL | SCHOLAR FINANCIAL | RUDDER FINANCIAL | REFRESH WEALTH | QUINNCORE FINANCIAL, LLC | QUIET WEALTH | PURSUIT PLANNING & INVESTMENTS, LLC | PURPOSEFUL MONEY | PEACE & FREEDOM FINANCIAL | ONYX FINANCIAL | NEWLEAF FINANCIAL GUIDANCE | NEPONSET RIVER WEALTH STRATEGIES | MOMENTOUS WEALTH ADVISORS | MERION PERSONAL FINANCE | LIGHTHOUSE PLANNING | KCL WEALTH MANAGEMENT | J.B. WEALTH STRATEGIES | INTREPID FINANCIAL SERVICES | HUNDRED FINANCIAL PLANNING | HOEVEN WEALTH | HARVARD WEALTH MANAGEMENT | FORWARD WEALTH MANAGEMENT | FLINT FINANCIAL PLANNING | EVIDENTIA WEALTH ADVISORS | EVERANT WEALTH, LLC | EQUI FINANCIAL PLANNING | EMPIRE CAPITAL WEALTH | EMPIRE CAPITAL VENTURES | ELATION WEALTH, LLC | DOVE VALLEY WEALTH MANAGEMENT | DISCOVERY WEALTH MANAGEMENT | DELTA LAKE WEALTH MANAGEMENT LLC | CONLEY CAPITAL MANAGEMENT | CLEAR SKIES PLANNING & WEALTH STRATEGIES, INC | CLEAR SKIES PLANNING | CHARLES MICHAEL FINANCIAL | CAROLINA WEALTH PLANNERS | BRIGHT WOMEN FINANCIAL | BIRDIE RETIREMENT PLANNING | BEST INVESTMENT GROUP LLC | BEECHMONT FINANCIAL | ARDENT GUARDIAN WEALTH ADVISORY | APPROACH FINANCIAL PLANNING | APPROACH FINANCIAL | ADELPHI WEALTH ADVISORY
CRD#: 285967 / SEC#: 801-118916
RIA
Registered Investment Advisory firm - (6/12/2020 Approved)Connecticut
Registered Investment Advisory firm - (6/23/2020 Terminated)Illinois
Registered Investment Advisory firm - (6/19/2020 Terminated)Montana
Registered Investment Advisory firm - (6/19/2020 Terminated)North Carolina
Registered Investment Advisory firm - (6/22/2020 Terminated)Texas
Registered Investment Advisory firm - (6/19/2020 Terminated)Virginia
Registered Investment Advisory firm - (6/26/2020 Terminated)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
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
XS
XYPN SAPPHIRE
ADELPHI LLC | XYPN SAPPHIRE | XYPN INVEST | XYIS | XY INVESTMENT SOLUTIONS, LLC | WINDJAMMER WEALTH | WEALTHPEACE | WEALTH MANAGEMENT OF ALABAMA | WBI ADVISORY | VONERA, LLC | VONERA WEALTH | VITA WEALTH MANAGEMENT | VERBATIM FINANCIAL | TURNING POINT FINANCIAL LIFE PLANNING | TROPHY POINT FINANCIAL PLANNING | THE GREEN GROUP WEALTH MANAGEMENT | THE CROSSROADS | TENERE WEALTH ADVISORS | TEN RING WEALTH ADVISORS | STRINGER ASSET MANAGEMENT, LLC | SETZER FINANCIAL | SCHOLAR FINANCIAL | RUDDER FINANCIAL | REFRESH WEALTH | QUINNCORE FINANCIAL, LLC | QUIET WEALTH | PURSUIT PLANNING & INVESTMENTS, LLC | PURPOSEFUL MONEY | PEACE & FREEDOM FINANCIAL | ONYX FINANCIAL | NEWLEAF FINANCIAL GUIDANCE | NEPONSET RIVER WEALTH STRATEGIES | MOMENTOUS WEALTH ADVISORS | MERION PERSONAL FINANCE | LIGHTHOUSE PLANNING | KCL WEALTH MANAGEMENT | J.B. WEALTH STRATEGIES | INTREPID FINANCIAL SERVICES | HUNDRED FINANCIAL PLANNING | HOEVEN WEALTH | HARVARD WEALTH MANAGEMENT | FORWARD WEALTH MANAGEMENT | FLINT FINANCIAL PLANNING | EVIDENTIA WEALTH ADVISORS | EVERANT WEALTH, LLC | EQUI FINANCIAL PLANNING | EMPIRE CAPITAL WEALTH | EMPIRE CAPITAL VENTURES | ELATION WEALTH, LLC | DOVE VALLEY WEALTH MANAGEMENT | DISCOVERY WEALTH MANAGEMENT | DELTA LAKE WEALTH MANAGEMENT LLC | CONLEY CAPITAL MANAGEMENT | CLEAR SKIES PLANNING & WEALTH STRATEGIES, INC | CLEAR SKIES PLANNING | CHARLES MICHAEL FINANCIAL | CAROLINA WEALTH PLANNERS | BRIGHT WOMEN FINANCIAL | BIRDIE RETIREMENT PLANNING | BEST INVESTMENT GROUP LLC | BEECHMONT FINANCIAL | ARDENT GUARDIAN WEALTH ADVISORY | APPROACH FINANCIAL PLANNING | APPROACH FINANCIAL | ADELPHI WEALTH ADVISORY
CRD#: 285967 / SEC#: 801-118916
RIA
Registered Investment Advisory firm - (6/12/2020 Approved)Connecticut
Registered Investment Advisory firm - (6/23/2020 Terminated)Illinois
Registered Investment Advisory firm - (6/19/2020 Terminated)Montana
Registered Investment Advisory firm - (6/19/2020 Terminated)North Carolina
Registered Investment Advisory firm - (6/22/2020 Terminated)Texas
Registered Investment Advisory firm - (6/19/2020 Terminated)Virginia
Registered Investment Advisory firm - (6/26/2020 Terminated)Loading...
Contact information
Main Address
24 E. Main Street, Bozeman, MT 59715
Mailing Address
Phone number
(360) 301-7579
Established
Firm type
Fiscal year end
# of Employees
69
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,262 |
| AUM (Assets Under Management) | $ 1,253,476,799 |
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.
