Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Duke? Claim Your ProfileDuke Nhien Tran is a financial advisor with Commonwealth Financial Network. Duke has been in the financial industry since February 15, 2000, and has experience working with a variety of clients including high net worth individuals, corporations, and charitable organizations. Duke has a Series 7, Series 31, and Series 66 license. Duke holds the SIE as well. Duke is a registered investment advisor in Texas. Duke is also the owner of Duke Wealth Management, LLC, which offers investment related services and is located at the branch office.
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.
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.
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2
TX
08/25/2016 - Present
Commonwealth Financial Network (Dallas TX)
TX
02/27/2009 - 09/01/2016
RBC CAPITAL MARKETS, LLC (DALLAS TX)
TX
02/16/2000 - 03/04/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
02/16/2000 - 01/22/2001
OXFORD FINANCIAL GROUP (HOUSTON TX)
BOTH
Issued 04/04/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/14/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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