Thong
Phan

Pruco Securities, LLC

CRD#5749619
Investment Advisor
in Houston, TX

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About this Advisor

Thong Phan is a financial advisor operating out of Houston, Texas with 8 years of industry experience. Phan is an employee of Pruco Securities, LLC. The advisor has gained experience at Northwestern Mutual Life Insurance Company, Northwestern Mutual Investment Services, LLC, Pruco Securities, LLC and Prudential Insurance Company Of America. Phan holds Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is approved to work in Arkansas and Texas. Pruco Securities, LLC is a registered investment firm that has its headquarters in Newark, NJ. The firm has offices in 42 locations and a total of 2,500 employees. It controls $14 billion in assets under management between its 106,737 accounts, placing it among the biggest financial advisory firms in the nation by assets under management. Of its 106,737 accounts, just 1% are associated with high-net-worth individuals who have greater than $1 million in assets available to invest. Pruco Securities, LLC offers a broad array of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers and educational seminars. Fees for financial advice are based on which services the firm provides the client. However, fees billed by Pruco Securities, LLC can consist of asset-based, hourly and fixed fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

8 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Office Location

1233 West Loop South Suite 1100-Park Towers North
Houston, TX 77027

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Pruco Securities, LLC Brokerage Details

Total Assets Under Management

$14,029,321,422

TX Average: $10,121,009,343
Total Number of Employees

2,500

TX Average: 92
Total Number of Accounts

106,737

TX Average: 6,978
Average Account Size

$131,438

TX Average: $1,450,417

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers
  • Educational seminars/workshops

Thong Phan Work History

Thong has been registered as a financial advisor for 8 years.*

2013 - Present (11 years)

Pruco Securities, LLC

2013 - Present (11 years)

Prudential Insurance Company Of America

2010 - 2013 (3 years)

Northwestern Mutual Life Insurance Company

2010 - 2013 (3 years)

Northwestern Mutual Investment Services, LLC

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Thong Phan to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Prudential Financial Planning Services

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Danville, IL
Larry Grubish
Saint Louis, MO
James Wright
Bellevue, WA
Andrew Estreich
Port Washington, NY
Ellen Goodman
Wakefield, MA
Oksana Flaks
Brooklyn, NY
Kevin Shelton
San Jose, CA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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