Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 6, 2017 indicate that former California-based JP Morgan Securities broker Phi Phan has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Phan (CRD# 6191955).
Phi Phan has spent two years in the securities industry and was most recently registered with JP Morgan Securities in San Jose, California (2013-2015). She has no previous registrations. She has passed two securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination) and Series 63 (Uniform Securities Agent State Law Examination). She is currently not affiliated with any state or firm.
According to her BrokerCheck report, Phi Phan has been sanctioned by FINRA and was terminated from a former employer.