Unclaimed Profile

Luong Pham

AXIM WEALTH MANAGEMENT LLC·SPRINGBORO, Ohio

SIE, Series 6, Series 7, Series 31, Series 63, Series 6523 years registeredAXIM WEALTH MANAGEMENT LLC

4 SYCAMORE CREEK DRIVE, SPRINGBORO, OH 45066CRD# 2830422Firm CRD# 319618

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Luong Pham · SPRINGBORO, OH

Registration

CRD #2830422 · AXIM WEALTH MANAGEMENT LLC · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: AXIM WEALTH MANAGEMENT LLC

AXIM PLANNING & WEALTH

Apr 2022 – Feb 2026

SPRINGBORO, OH

CETERA ADVISORS LLC

May 2019 – Apr 2022

DAYTON, OH

TCFG INVESTMENT ADVISORS, LLC

Dec 2017 – Jun 2019

Centerville, OH

UNITED ADVISORS SERVICES, LLC

Dec 2017 – Dec 2017

Centerville, OH

WELLS FARGO CLEARING SERVICES, LLC

Dec 2012 – Dec 2017

MIAMISBURG, OH

AMERIPRISE FINANCIAL SERVICES, INC.

Oct 2009 – Jan 2013

DAYTON, OH

AMERIPRISE ADVISOR SERVICES, INC.

Mar 2009 – Oct 2009

WASHINGTON TOWNSHIP, OH

CITIGROUP GLOBAL MARKETS INC.

Apr 2006 – Apr 2009

CENTERVILLE, OH

UBS FINANCIAL SERVICES INC.

Sep 2002 – May 2006

CENTERVILLE, OH

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 31

Series 63

Series 65

Registration record

First registered · September 19, 2002

Years registered · 23

Disclosure History

2023Customer Dispute·Settled

2017Employment Separation After Allegations

2015Customer Dispute·Denied

2000Customer Dispute·Denied

4 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

AXIM WEALTH MANAGEMENT LLC

CRD 319618 · SEC 801-124695

AUM

$129M

Regulatory assets under management

Employees

504 client accounts

Services offered by AXIM WEALTH MANAGEMENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at AXIM WEALTH MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Luong Pham offer?

Luong Pham specializes in Financial Planning, Investment Management, Fee-Only Advisory.

What are Luong Pham's credentials?

Luong Pham is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Luong Pham located?

Luong Pham is based in SPRINGBORO, Ohio, last registered with AXIM WEALTH MANAGEMENT LLC.

How does Luong Pham charge for services?

Luong Pham's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is AXIM WEALTH MANAGEMENT LLC?

AXIM WEALTH MANAGEMENT LLC has approximately 3 employees and manages $129M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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