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Phu Cuong Phan

Osaic Institutions, Inc.

Roling Hills Estate, CA

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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-07-01
  • CA RA
    APPROVED
    Since 2016-07-01

Branch Locations

609 Deep Valley Drive Suite 200 #212, Roling Hills Estate, CA 90274 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
California National Bank Los Angeles CA 01/2004 Present
Infinex Investments, Inc. Roling Hills Estate CA 07/2016 Present
  • 01/2004 → Present
    California National Bank
    Los Angeles , CA
  • 07/2016 → Present
    Infinex Investments, Inc.
    Roling Hills Estate, CA
Previous Registrations
  • 2006-02-10 → 2016-07-01
    Essex National Securities, Llc
    Long Beach, CA
    Roling Hills Estate, CA
    Gardena, CA
    San Pedro, CA
    Los Angeles, CA
    Long Beach, CA
    Bellflower, CA
    Rancho Palos Verdes, CA
    Torrance, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-03
S63 Uniform Securities Agent State Law Examination 1999-08-10
  • S65 Uniform Investment Adviser Law Examination
    2006-02-03
  • S63 Uniform Securities Agent State Law Examination
    1999-08-10

View on SEC IAPD

Other Firms

ACQUIRERS FUNDS, LLC
AFZALI INVESTMENTS, LLC
DARRELL CAPITAL MANAGEMENT, LLC
MORGAN STANLEY
SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES
PORTAGE CAPITAL MANAGEMENT LLC
EDWARD JONES
EMERSON EQUITY LLC

Other Investors

TOBIAS ERIC CARLISLE
MAZI MALEKAFZALI
STEWART DARRELL
EMILIO MEJIA GANCAYCO JR.
NIKESH VIRENDRA KADAKIA
TRACI MIDORI HONDA LAFLOWER
RYAN THOMAS FISHER
BRANDON MINORU HIGA

Other Offices

ACQUIRERS FUNDS, LLC · ROLLING HILLS, CA
AFZALI INVESTMENTS, LLC · ROLLING HILLS ESTATES, CA
DARRELL CAPITAL MANAGEMENT, LLC · ROLLING HILLS ESTATES, CA
MORGAN STANLEY · Rolling Hills Estates, CA
SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES · ROLLING HILLS ESTATES, CA
PORTAGE CAPITAL MANAGEMENT LLC · ROLLING HILLS ESTATES, CA
EDWARD JONES · ROLLING HILLS ESTATE, CA
EMERSON EQUITY LLC · Rolling HIlls, CA

More in Roling Hills Estate, CA

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