Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KAREN PHUONG LAM
CHI TU PHUONG
CRD#: 4725234
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 5 PARK PLZ 19TH & 20TH FLS
IRVINE, CA 92614
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2005 (1 year)2 FIRMS2005 - 2006 (<1 year)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2017 (8 years)2 FIRMS2017 - Present (7 years)BATLAS SECURITIES, LLC (CRD# 20991)2006 - 2007 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2003 - 2004 (<1 year)
Disclosure(s)
View By:
5/10/2011
Customer Dispute
Denied
5/10/2011
Customer Dispute
Denied
License(s)

State Registrations

B
California 12/1/2017
B
Texas 12/1/2017
IA
California 12/1/2017
IA
Texas 12/1/2017
B
Colorado 12/1/2017
B
Virginia 10/15/2019
B
Florida 8/30/2022

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

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
WELLS FARGO ADVISORS (CRD#:19616)
5 PARK PLZ 19TH & 20TH FLS, IRVINE, CA 92614
Cupertino, CA
Registered with this firm since 12/1/2017
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5 PARK PLZ 19TH & 20TH FLS, IRVINE, CA 92614
Cupertino, CA
Registered with this firm since 12/1/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/23/2009 - 12/04/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN JOSE, CA
B
 10/23/2009 - 12/04/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN JOSE, CA
IA
 10/22/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MOUNTAIN VIEW, CA
B
 10/22/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MOUNTAIN VIEW, CA
IA
 02/01/2007 - 10/23/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) MOUNTAIN VIEW, CA
B
 02/01/2007 - 10/23/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) MOUNTAIN VIEW, CA
B
 01/17/2006 - 02/01/2007 ATLAS SECURITIES, LLC (CRD#:20991) MOUNTAIN VIEW, CA
IA
 10/07/2005 - 01/19/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN JOSE, CA
B
 10/07/2005 - 01/19/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN JOSE, CA
IA
 09/02/2004 - 06/21/2005 MORGAN STANLEY (CRD#:7556) CUPERTINO, CA
B
 05/25/2004 - 06/21/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 11/05/2003 - 05/27/2004 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, 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.