Asia Tran Phan

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → Present
  Raymond James Financial Services
  Newport Beach, CA
• 03/2018 → Present
  Raymond James Financial Services Advisors Inc.
  Newport Beach, CA
• 09/2021 → 12/2023
  Time
  Costa Mesa, CA

Other Businesses

(1) YHC Wealth Management Group Address: 4675 Macarthur Ct Ste 450, Newport Beach, CA, 92660, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 10/03/2014 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-03-23
• S63 Uniform Securities Agent State Law Examination
  2017-01-27

Designations

• Certified Financial Planner