Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hai-uy? Claim Your ProfileHai-uy Tran Dang is a financial advisor with over 20 years of experience in the industry. Hai-uy has been registered with the state of California since 2001. Currently, Hai-uy is an investment advisor representative with Rockefeller Financial LLC. Hai-uy has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA INVESTMENT SERVICES, INC., GLOBAL-AMERICAN INVESTMENTS, INC., and MORGAN STANLEY DW INC. Hai-uy has earned numerous licenses and certifications, including Series 31, Series 7, Series 6, Series 63, Series 65, and Series 66. Hai-uy has a strong commitment to helping clients achieve their financial goals. Hai-uy specializes in providing financial advice to high-net-worth individuals, corporations, and charitable organizations. Hai-uy also has experience in providing financial planning, portfolio management, and pension consulting services.
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.
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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2
CA
02/26/2021 - Present
Rockefeller Financial LLC (Los Angeles CA)
CA
10/10/2011 - 03/01/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (IRVINE CA)
CA
03/21/2003 - 01/29/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (NEWPORT BEACH CA)
CA
02/01/2002 - 06/21/2002
GLOBAL-AMERICAN INVESTMENTS, INC. (WALNUT CA)
NY
10/22/1999 - 01/23/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
GA
06/26/1997 - 08/25/1999
WMA SECURITIES, INC. (DULUTH GA)
BOTH
Issued 10/03/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 10/21/1999
Series 7 - General Securities Representative Examination
BC
Issued 06/25/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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