Nam N. Phan

PHAN CAPITAL

San Antonio, TX

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CRD#: 7085582

Professional summary

Nam Nathaniel Phan, CFP®, who also goes by Nathan Phan, is a registered financial advisor currently at PHAN CAPITAL located in San Antonio, Texas.

Nam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Nam has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nathan Phan

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.

Name: Methodist Hospital South; Nature: Hospital; NOT investment-related Address: 1905 TX97, Jourdanton, TX 78026; Position: Employee; Title: Advanced Clinical Pharmacist; Start Date: 07/2017 (Started at South Texas Regional Medical Center 08/2013; hospital changed names as result of acquisition); Approximate Hours/Month: 144; Hours Devoted During Securities Trading Hours: Variable ( 6am to 6pm or 6pm to 6am on rotating shifts that include weekends); Duties: Verify appropriateness of medication orders, make recommendations on medication therapy.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nam Nathaniel Phan'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®

CFP^®

Certified Financial Planner

Experience

Current

April 11, 2019 - Present

PHAN CAPITAL

RIA

CRD#: 301304

San Antonio, TX

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.

Highlighted states indicate IAR registrations

IAR

Texas
(4/11/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/2019

Uniform Investment Adviser Law Examination

Current Firm

PHAN CAPITAL

PHAN CAPITAL | PHAN CAPITAL MANAGEMENT, LLC

CRD#: 301304 / SEC#:

Texas

Registered Investment Advisory firm - (4/11/2019 Approved)

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Contact information

Main Address

San Antonio, TX

Mailing Address

Phone number

(210) 549-6655

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 3,208,859

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.

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Nam N. Phan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nam Nathaniel Phan's CRS (Customer Relationship Summary).

Certified licenses

Experience

PHAN CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2019

Current Firm

PHAN CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PHAN CAPITAL

TRUST BUT VERIFY

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