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Detailed Report
Thomas Hoang Chau
Phong Hoang Chau, Phong Chau
CRD#: 2395435
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 San Gabriel, CA
Registration History
19952000200520102015202020252 FIRMS2000 - 2005 (5 years)IAWESTERN INTERNATIONAL SECURITIES (CRD# 39262)2007 - Present (17 years)BWESTERN INTERNATIONAL SECURITI... (CRD# 39262)2005 - Present (20 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1996 - 2000 (3 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1996 (3 years)IAWESTERN INTERNATIONAL SECURITIES (CRD# 39262)2005 - 2007 (2 years)
License(s)

State Registrations

B
California 1/11/2005
B
Illinois 7/29/2013
IA
California 7/30/2007
B
Nevada 5/13/2022

SRO Registrations

B
 FINRA

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
San Gabriel, CA
Registered with this firm since 7/30/2007
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
San Gabriel, CA
Registered with this firm since 1/11/2005
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/11/2005 - 05/01/2007 WESTERN INTERNATIONAL SECURITIES (CRD#:39262) Pasadena, CA
IA
 02/15/2000 - 02/08/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
B
 01/07/2000 - 02/08/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 10/14/1996 - 01/10/2000 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 10/21/1993 - 10/30/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.