Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ann? Claim Your ProfileAnn Margaret Tran has been in the securities industry since December 11, 2000. Ann is currently registered with Mufg Securities Americas Inc. and has been with the firm since December 2, 2013. Ann is registered as a broker-dealer in 51 states. Ann is also a registered principal with Series 24, and holds the Series 7, Series 63, Series 79TO and SIE exams. Ann's previous employment was with CREDIT SUISSE SECURITIES (USA) LLC, where Ann was registered as a broker-dealer and investment advisor representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
12/02/2013 - Present
Mufg Securities Americas Inc. (NEW YORK NY)
NY
12/12/2000 - 12/23/2013
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
BC
Issued 02/12/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/25/2018
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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