DP
Duncan T. Pham
PACKERLAND BROKERAGE SERVICES
HOUSTON, TX 77057
Some features on this profile are disabled
CRD#: 6080025
DP
Professional summary
Duncan Trang Thien Pham, who also goes by Duncan Trang Pham, Trang T Pham, Duncan Trang Thien Pham, is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Houston, Texas.
Duncan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Duncan has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Duncan Trang Pham | Trang T Pham | Duncan Trang Thien 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.
1)D T PHAM & ASSOCIATES, PLLC; HOUSTON, TX; NON-INVESTMENT RELATED; LEGAL SERVICES; OWNER; SINCE 06/1982; 160 HRS/MO
2)THE KHETSUN FOUNDATION; HOUSTON, TX; NON-INVESTMENT RELATED; DIRECTOR AND PRESIDENT; RELIGIOUS CHARITABLE ORGANIZATION; SINCE 01/2018; 4HRS/MO
3)CODE DANNA FOUNDATION INC.; HOUSTON, TX; NON-INVESTMENT RELATED; LOCAL CHARITABLE FOUNDATION; SINCE 01/2018; 4HRS/MO
4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: FIXED INSURANCE ;
START DATE: 06/2020 ;
APX NUMBER OF HOURS PER WEEK: 4 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 4 ;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ;
BRIEF DESCRIPTION OF DUTIES: SELLS HEALTH AND PROPERTY & CASUALTY ;
CRS (Client Relationship Summary) - RIA
Click below to view Duncan Trang Thien Pham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Duncan Trang Thien Pham'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®
NoneExperience
Current
January 31, 2025 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 6164 Richmond Ave Suite 207, Houston, TX 77057RIA
BD
CRD#: 37031
HOUSTON, TX
Current
January 31, 2025 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 6164 Richmond Ave Suite 207, Houston, TX 77057RIA
BD
CRD#: 37031
HOUSTON, TX
Past
May 21, 2019 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
HOUSTON, TX
Past
May 21, 2019 - December 31, 2024
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
HOUSTON, TX
Past
October 19, 2016 - May 31, 2019
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Houston, TX
Past
October 19, 2016 - May 31, 2019
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Houston, TX
Past
May 9, 2013 - October 27, 2016
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
HOUSTON, TX
Past
May 9, 2013 - October 27, 2016
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
HOUSTON, TX
Past
November 5, 2012 - April 10, 2013
EDWARD JONES
RIA
CRD#: 250
HOUSTON, TX
Past
August 22, 2012 - April 10, 2013
EDWARD JONES
BD
CRD#: 250
HOUSTON, TX
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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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(1/31/2025)
IAR
Texas(1/31/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
