Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gom? Claim Your ProfileGom Tran is a financial professional with over 16 years of experience in the industry. Gom is currently registered with J.P. Morgan Securities LLC and has previously worked at HSBC Securities (USA) Inc., Santander Securities LLC, LPL Financial LLC, Chase Investment Services Corp. and AXA Advisors, LLC. Gom is registered to provide investment advice in 12 states and holds Series 66, Series 7 and SIE licenses. Gom has a strong background in providing financial advice to individuals, corporations, pension plans, insurance companies, labor unions, and charitable organizations.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
11/24/2021 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
12/12/2013 - 01/05/2015
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
09/19/2012 - 08/22/2013
SANTANDER SECURITIES LLC (MANHATTAN NY)
NY
05/25/2012 - 09/19/2012
LPL FINANCIAL LLC (NEW YORK NY)
NY
06/08/2007 - 05/11/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
10/03/2006 - 02/26/2007
AXA ADVISORS, LLC (LAKE SUCCESS NY)
BOTH
Issued 10/9/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/2/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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