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Quang Thi Phan

Raymond James Financial Services Advisors, Inc

San Jose, CA

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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-07-01
TX RA APPROVED 2026-07-01
  • CA RA
    APPROVED
    Since 2026-07-01
  • TX RA
    APPROVED
    Since 2026-07-01

Branch Locations

2280 Lincoln Ave Suite 290, San Jose, CA 95125 • 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
Cuso Financial Services, L.P. San Diego CA 04/2009 01/2022
Raymond James & Associates, Inc. San Jose CA 01/2022 06/2026
Okami Financial Group San Jose CA 07/2026 Present
Raymond James Financial Services Advisors, Inc. San Jose CA 07/2026 Present
Raymond James Financial Services, Inc. San Jose CA 07/2026 Present
Previous Registrations
  • 2022-01-26 → 2026-07-01
    Raymond James & Associates, Inc.
    San Jose, CA
    Dublin, CA
  • 2009-04-02 → 2022-01-26
    Cuso Financial Services, L.P.
    San Jose, CA
    San Jose, CA
    Sunnyvale, CA
    Wilmington, NC
    Wilmington, NC
    Wilmington, NC
    Fremont, CA
    Wilmington, NC
    Wilmington, NC
    Wilmington, NC
  • 2008-11-17 → 2009-04-02
    Banc Of America Investment Services, Inc.
    Santa Clara, CA
    San Jose, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-14
S63 Uniform Securities Agent State Law Examination 2003-01-14
  • S65 Uniform Investment Adviser Law Examination
    2008-11-14
  • S63 Uniform Securities Agent State Law Examination
    2003-01-14
Designations

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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