Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cao tri? Claim Your ProfileCao tri Tran is a financial advisor who has been in the industry since 2000. Cao tri is currently registered with LPL Financial LLC. Previously, Cao tri Tran worked at several firms including CUNA Brokerage Services, Inc., City National Securities, Inc., Wells Fargo Advisors, LLC, Wells Fargo Investments, LLC, Ameriprise Financial Services, Inc., and Citigroup Global Markets Inc. Cao tri Tran holds licenses for Series 6, 7, 63, and 65.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/18/2022 - Present
LPL Financial LLC (LONG BEACH CA)
CA
03/14/2019 - 05/18/2022
CUNA BROKERAGE SERVICES, INC. (TORRANCE CA)
CA
05/16/2018 - 03/04/2019
CITY NATIONAL SECURITIES, INC. (LOS ANGELES CA)
CA
12/08/2016 - 06/06/2018
LPL FINANCIAL LLC (CERRITOS CA)
CA
10/04/2016 - 12/16/2016
CITIGROUP GLOBAL MARKETS INC. (San Pedro CA)
CA
06/26/2015 - 10/21/2016
LPL FINANCIAL LLC (ARTESIA CA)
CA
06/24/2011 - 07/08/2015
AMERIPRISE FINANCIAL SERVICES, INC. (ARTESIA CA)
CA
01/03/2011 - 06/27/2011
WELLS FARGO ADVISORS, LLC (CERRITOS CA)
CA
06/02/2005 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (CERRITOS CA)
IA
03/04/2005 - 05/24/2005
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
CA
07/07/2004 - 01/05/2005
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NY
03/03/2004 - 06/09/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
06/20/2001 - 03/04/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
MN
05/25/2000 - 05/31/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/25/2000 - 05/31/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
AZ
01/02/2000 - 02/16/2000
SIMMERS CAPITAL MANAGEMENT CORPORATION (PHOENIX AZ)
IA
Issued 06/01/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/24/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2000
Series 7 - General Securities Representative Examination
BC
Issued 12/29/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Cao tri Tran is the right advisor for you? Invested Better is here to help.
