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QUOC PHAM
CRD#: 5808255
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 550 S TRYON ST 44TH FL
[N1/N9-RBO]
CHARLOTTE, NC 28202
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLCCRD#: 11025 1525 W WT HARRIS BLVD
CHARLOTTE, NC 28262
Registration History
201020122014201620182020202220242026BWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2022 - Present (2 years)IAWELLS FARGO ADVISORS (CRD# 19616)2019 - Present (5 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2010 - Present (14 years)BFIRST CLEARING, LLC (CRD# 17344)2010 - 2010 (<1 year)
License(s)

State Registrations

B
North Carolina 12/9/2010

IA
North Carolina 9/3/2019

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

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025)
1525 W WT HARRIS BLVD, CHARLOTTE, NC 28262
Registered with this firm since 10/13/2022

IA
WELLS FARGO ADVISORS (CRD#:19616)
550 S TRYON ST 44TH FL [N1/N9-RBO], CHARLOTTE, NC 28202
Registered with this firm since 9/3/2019

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
550 S TRYON ST 44TH FL [N1/N9-RBO], CHARLOTTE, NC 28202
Registered with this firm since 12/7/2010

Previous Registration(s)
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B
08/16/2010 - 12/09/2010 FIRST CLEARING, LLC (CRD#:17344) ST. LOUIS, MO
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B
Broker
IA
Investment Adviser
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.