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Detailed Report
LY HUU THIEN PHAM
LY H PHAM
CRD#: 5058937
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 32881 US HWY 79
TEMECULA, CA 92592
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (1 year)2 FIRMS2008 - 2011 (2 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
California 10/26/2021
IA
California 10/26/2021

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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)
32881 US HWY 79, TEMECULA, CA 92592
Registered with this firm since 10/26/2021
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
32881 US HWY 79, TEMECULA, CA 92592
Registered with this firm since 9/30/2021
Previous Registration(s)
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IA
 11/11/2008 - 07/19/2011 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SANTA ANA, CA
B
 12/03/2008 - 07/19/2011 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SANTA ANA, CA
IA
 05/02/2006 - 12/14/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) IRVINE, CA
B
 02/22/2006 - 12/14/2007 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) IRVINE, CA
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.