Duc M. Pham

SONORAN INVESTMENT ADVISORS

SCOTTSDALE, AZ 85251

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CRD#: 7423122

Professional summary

Duc Minh Pham MD, who also goes by Duc M Pham, is a registered financial advisor currently at SONORAN INVESTMENT ADVISORS, LLC located in Scottsdale, Arizona.

Duc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Duc has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Duc M 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.

Dr. Pham, in his individual capacity, is a surgeon at his own practice, Duc M Pham MD, PC. In this role, he completes surgeries and management duties and obligations. Dr. Pham spends approximately 20 hours per week working in this position.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duc Minh Pham MD'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

February 22, 2024 - Present

SONORAN INVESTMENT ADVISORS, LLC

Office #1: 3320 N Miller Rd, Scottsdale, AZ 85251

RIA

CRD#: 328160

SCOTTSDALE, AZ

Past

August 18, 2021 - December 31, 2021

SONORAN INVESTMENT ADVISORS, LLC

RIA

CRD#: 316090

PHOENIX, AZ

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

Arizona
(2/22/2024)

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: 5/17/2021

Uniform Investment Adviser Law Examination

Current Firm

SONORAN INVESTMENT ADVISORS, LLC

CRD#: 328160 / SEC#:

Arizona

Registered Investment Advisory firm - (2/22/2024 Approved)

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Contact information

Main Address

3320 N Miller Rd, Scottsdale, AZ 85251

Mailing Address

Phone number

(602) 326-4450

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Duc M. Pham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Duc Minh Pham MD's CRS (Customer Relationship Summary).

Certified licenses

Experience

SONORAN INVESTMENT ADVISORS, LLC

SONORAN INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2021

Current Firm

SONORAN INVESTMENT ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

SONORAN INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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