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Duong Q Tran

Charles Schwab & CO., Inc.

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About Duong Q Tran

Duong Tran is a financial professional with over 19 years of experience in the financial services industry. Duong has been registered with Charles Schwab & CO., Inc. since January 23, 2023 and with TD Ameritrade Clearing, Inc. since November 15, 2018. Duong previously worked at TD AMERITRADE, INC. and AMERITRADE, INC. Duong holds several licenses and registrations including Series 66, Series 63, Series 4, Series 24, SIE, and Series 7.

Firm Information

Duong Tran is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Duong Tran’s Registration & Firm History

NE

01/23/2023 - Present

Charles Schwab & CO., Inc. (Omaha NE)

NE

04/22/2006 - 07/29/2024

TD AMERITRADE, INC. (OMAHA NE)

NE

06/17/2004 - 04/22/2006

AMERITRADE, INC. (BELLEVUE NE)

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Licenses & Designations

BOTH

Issued 11/24/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/26/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/20/2007

Series 4 - Registered Options Principal Examination

BC

Issued 07/24/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/16/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Duong Q Tran.
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