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Detailed Report
LARRY PHAM
CRD#: 6136696
IA
Investment Adviser
B
Broker
GWN SECURITIES INC.CRD#: 128929 LOS ANGELES, CA
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2021 - Present (3 years)BEQUITABLE ADVISORS, LLC (CRD# 6627)2015 - 2021 (6 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2015 - 2015 (<1 year)IAEQUITABLE ADVISORS, LLC (CRD# 6627)2021 - 2021 (<1 year)
License(s)

State Registrations

B
California 5/27/2021
B
Ohio 8/11/2021
IA
California 5/28/2021
B
Oregon 8/10/2021
B
Hawaii 8/10/2021
B
Texas 6/21/2022
B
Idaho 6/21/2022
B
Washington 8/1/2023
B
Nevada 12/7/2021

SRO Registrations

B
 FINRA

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
GWN SECURITIES INC. (CRD#:128929)
LOS ANGELES, CA
177 EAST COLORADO BLVD. SUITE 200, OFFICE 3055, PASADENA, CA 91105
Registered with this firm since 5/28/2021
B
GWN SECURITIES INC. (CRD#:128929)
LOS ANGELES, CA
177 EAST COLORADO BLVD. SUITE 200, OFFICE 3055, PASADENA, CA 91105
Registered with this firm since 5/27/2021
Previous Registration(s)
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IA
 05/10/2021 - 06/01/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
B
 06/02/2015 - 06/01/2021 EQUITABLE ADVISORS, LLC (CRD#:6627) LOS ANGELES, CA
B
 04/09/2015 - 05/07/2015 MML INVESTORS SERVICES, LLC (CRD#:10409) PASADENA, 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.