Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Duc? Claim Your ProfileDuc Tran is a financial advisor with Ameriprise Financial Services, LLC. Duc has been in the industry since 2001. Duc is registered with the state of California as a Registered Representative and Investment Advisor Representative. Prior to joining Ameriprise, Duc worked for WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC, CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, WM FINANCIAL SERVICES, INC., and FIRST GLOBAL SECURITIES, INC..
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
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CA
06/15/2012 - Present
Ameriprise Financial Services, LLC (PASADENA CA)
CA
03/18/2010 - 06/01/2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (PASADENA CA)
CA
05/29/2007 - 04/15/2010
CITIGROUP GLOBAL MARKETS INC. (ALHAMBRA CA)
CA
01/12/2007 - 05/29/2007
CITICORP INVESTMENT SERVICES (ALHAMBRA CA)
CA
04/20/2004 - 10/23/2006
WM FINANCIAL SERVICES, INC. (ARCADIA CA)
CA
05/23/2003 - 04/20/2004
FIRST GLOBAL SECURITIES, INC. (PASADENA CA)
GA
09/17/1998 - 11/17/2000
WMA SECURITIES, INC. (DULUTH GA)
BOTH
Issued 07/06/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/07/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2003
Series 7 - General Securities Representative Examination
BC
Issued 09/16/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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