Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ha? Claim Your ProfileHa Thi Ngoc Tran is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Ha Thi Ngoc Tran has been in the financial services industry since June 2019. Ha Thi Ngoc Tran is licensed to conduct business in 38 states and the District of Columbia. Ha Thi Ngoc Tran is also a registered investment advisor representative in Washington and Texas. Ha Thi Ngoc Tran provides advisory services such as financial planning, pension consulting, educational seminars, performance measurement reports, allocation modeling, IPS, research reports and services, selection of other advisors, and portfolio management for businesses and individuals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
WA
07/29/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
BOTH
Issued 7/26/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/26/2019
Series 7TO - General Securities Representative Examination
BC
Issued 4/24/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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