Tuan Minh Pham
Investment Adviser Representative at W&s Brokerage Services, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Tuan Minh Pham is an investment adviser representative with W&s Brokerage Services, Inc. in Celina, OH, where they have been registered since 2024, the year they entered the securities industry. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in Indiana, Ohio, and Texas.
Registrations & licenses
- Investment adviser:
- Indiana, Ohio, Texas
- Broker:
2 states and territories
Indiana, Ohio
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- W&S Brokerage Services, Inc.Dec 2023 – no end date reportedCelina, OH
- Western and Southern LifeOct 2023 – no end date reportedCelina, OH
- Western Kentucky UniversitySep 2020 – Oct 2023Bowling Green, KY
- Boba Fusion LLCSep 2019 – Sep 2020Bowling Green, KY
- Western Kentucky UniversityMay 2017 – Sep 2019Bowling Green, KY
- The World and Vietnam ReportMay 2015 – May 2017Hanoi
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About W&s Brokerage Services, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- First $250,0001.50%
- Next $250,0001.40%
- Next $250,0001.30%
- Thereafter1.10%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 106
- Offices listed on AdvisorFinder:
- 57
- Main office:
- Cincinnati, OH
- SEC file number:
- 801-113946
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 4, 2026
View full firm profileOther advisors at W&s Brokerage Services, Inc.
Showing 12 of 106 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Tuan Minh Pham has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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