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PH

Phu H. Ha

FUTU CLEARING
Dallas, TX 75251
Some features on this profile are disabled
CRD#: 6186384
PH

Professional summary

Phu Huu Ha, who also goes by Phu Ha, is a registered financial professional currently at FUTU CLEARING INC located in Dallas, Texas.

Phu is registered as a RR (Registered Representative) and started their career in finance in 2015. Phu has worked at 4 firms and has passed the SIE, Series 7, Series 99, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phu Ha

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 Phu Huu Ha'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

January 3, 2022 - Present

FUTU CLEARING INC

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

October 9, 2018 - March 8, 2021

VELOX CLEARING LLC

BD
CRD#: 290215
MIAMI, FL
Past

June 12, 2017 - September 21, 2018

ELECTRONIC TRANSACTION CLEARING, INC.

BD
CRD#: 146122
LOS ANGELES, CA
Past

January 5, 2015 - February 8, 2017

WEDBUSH SECURITIES INC.

BD
CRD#: 877
LOS ANGELES, CA

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

General Industry/Product Exam
RR
SIE
Date: 9/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/29/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 1/3/2015
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/27/2018
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/2016
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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