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Vivian Phuong-Vi Phan

Rockefeller Financial LLC

Dallas, TX

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-02-27
  • TX RA
    APPROVED
    Since 2026-02-27

Branch Locations

300 Crescent Court Suite 1450, Dallas, TX 75201 • 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
Csl Plasma Oklahoma City OK 05/2022 07/2022
Charles Schwab & Co., Inc. Westlake TX 09/2024 04/2025
Full Time Education Fort Worth TX 08/2020 05/2024
Unemployed Yukon OK 06/2024 08/2024
Gold Leaf Nutrition Oklahoma City OK 06/2019 12/2019
Full Time Education Oklahoma City OK 08/2016 05/2020
Texas Republic Fort Worth TX 11/2022 08/2023
Louie's Grill & Bar Yukon OK 05/2021 08/2021
Rockefeller Financial Llc Dallas TX 01/2026 Present
Prudent Money Financial Services Addison TX 05/2025 01/2026
  • 05/2022 → 07/2022
    Csl Plasma
    Oklahoma City, OK
  • 09/2024 → 04/2025
    Charles Schwab & Co., Inc.
    Westlake, TX
  • 08/2020 → 05/2024
    Full Time Education
    Fort Worth, TX
  • 06/2024 → 08/2024
    Unemployed
    Yukon, OK
  • 06/2019 → 12/2019
    Gold Leaf Nutrition
    Oklahoma City, OK
  • 08/2016 → 05/2020
    Full Time Education
    Oklahoma City, OK
  • 11/2022 → 08/2023
    Texas Republic
    Fort Worth, TX
  • 05/2021 → 08/2021
    Louie's Grill & Bar
    Yukon, OK
  • 01/2026 → Present
    Rockefeller Financial Llc
    Dallas, TX
  • 05/2025 → 01/2026
    Prudent Money Financial Services
    Addison, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-02-27
S63 Uniform Securities Agent State Law Examination 2025-01-13
  • S65 Uniform Investment Adviser Law Examination
    2026-02-27
  • S63 Uniform Securities Agent State Law Examination
    2025-01-13
Other Names
  • Viv Phan
  • Vivian Phuong-Vi Phan
  • Vivian Phuong Vi Phan

View on SEC IAPD

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