Winnie B. Phung
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.
Winnie Bich Phung was a registered financial professional .
Winnie is a previously registered financial professional and started their career in finance in 2008. Winnie had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2016 - October 11, 2017
AFFINITY INVESTMENT ADVISORS, LLC
May 22, 2012 - September 4, 2015
BEVERLY HILLS WEALTH MANAGEMENT, LLC
March 9, 2012 - September 2, 2015
MUTUAL SECURITIES, INC.
January 24, 2012 - March 9, 2012
PURSHE KAPLAN STERLING INVESTMENTS
September 9, 2008 - December 31, 2011
WEDBUSH SECURITIES INC.
Primary Firm SEC Registration
AFFINITY INVESTMENT ADVISORS, LLC
CRD#: 108278 / SEC#: 801-42015
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AFFINITY INVESTMENT ADVISORS, LLC
CRD#: 108278 / SEC#: 801-42015
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 71 |
| AUM (Assets Under Management) | $ 1,065,062,527 |
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.
