Luong Pham

AXIM PLANNING & WEALTH

Springboro, OH 45066

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CRD#: 2830422

Professional summary

Luong Pham is a registered financial advisor currently at AXIM PLANNING & WEALTH located in Springboro, Ohio.

Luong is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Luong has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Axim Insurance LLC; Dayton, OH; Investment Related; Insurance Agent; Fixed Insurance Sales; Started 12/2017; Approximately 10% of time spent on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luong Pham's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 26, 2022 - Present

AXIM PLANNING & WEALTH

Office #1: 4 Sycamore Creek Drive, Springboro, OH 45066

RIA

CRD#: 319618

Springboro, OH

Past

May 24, 2019 - April 27, 2022

CETERA ADVISORS LLC

RIA

CRD#: 10299

DAYTON, OH

Past

May 24, 2019 - April 27, 2022

CETERA ADVISORS LLC

CRD#: 10299

DAYTON, OH

Past

December 12, 2017 - June 27, 2019

TCFG INVESTMENT ADVISORS, LLC

RIA

CRD#: 166606

Centerville, OH

Past

December 12, 2017 - January 25, 2018

TCFG WEALTH MANAGEMENT, LLC

CRD#: 164153

LAGUNA NIGUEL, CA

Past

December 1, 2017 - December 12, 2017

UNITED ADVISORS SERVICES, LLC

RIA

CRD#: 150080

Centerville, OH

Past

December 1, 2017 - December 12, 2017

FSIC

CRD#: 37813

BOCA RATON, FL

Past

December 14, 2012 - December 13, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMISBURG, OH

Past

December 14, 2012 - December 13, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MIAMISBURG, OH

Past

October 5, 2009 - January 7, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DAYTON, OH

Past

October 5, 2009 - January 7, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

DAYTON, OH

Past

March 24, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

WASHINGTON TOWNSHIP, OH

Past

March 20, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

WASHINGTON TOWNSHIP, OH

Past

April 17, 2006 - April 14, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CENTERVILLE, OH

Past

April 13, 2006 - April 14, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CENTERVILLE, OH

Past

September 19, 2002 - May 4, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CENTERVILLE, OH

Past

November 23, 2001 - May 4, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 24, 1999 - November 28, 2001

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

December 16, 1996 - June 7, 1999

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AXIM PLANNING & WEALTH

AXIM PLANNING & WEALTH | AXIM WEALTH MANAGEMENT LLC

CRD#: 319618 / SEC#: 801-124695

RIA

Registered Investment Advisory firm - (4/21/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(4/26/2022)

IAR

Texas
(4/26/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/11/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/19/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/22/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/13/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AXIM PLANNING & WEALTH

AXIM PLANNING & WEALTH | AXIM WEALTH MANAGEMENT LLC

CRD#: 319618 / SEC#: 801-124695

RIA

Registered Investment Advisory firm - (4/21/2022 Approved)

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Contact information

Main Address

4 Sycamore Creek Drive, Springboro, OH 45066

Mailing Address

Phone number

(937) 291-2060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A/2B (8/26/2025)

Regulatory assets under management

Total Number of Accounts	587
AUM (Assets Under Management)	$ 119,289,879

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Luong Pham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luong Pham's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

TCFG INVESTMENT ADVISORS, LLC

TCFG WEALTH MANAGEMENT, LLC

UNITED ADVISORS SERVICES, LLC

FSIC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

EDWARD JONES

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

AXIM PLANNING & WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 6/11/2008

Series 63

Date: 2/7/1997

SIE

Date: 1/25/2018

Series 31

Date: 6/19/2006

Series 7

Date: 7/22/1997

Series 6

Date: 12/13/1996

Current Firm

AXIM PLANNING & WEALTH

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AXIM PLANNING & WEALTH

TRUST BUT VERIFY

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