Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Tran is a securities professional with over 5 years of experience in the industry. James currently holds a Series 7, Series 7TO, Series 63, and SIE licenses. James is currently registered with Truist Securities, Inc. and previously was registered with Wedbush Securities Inc. James is licensed in 52 states and the District of Columbia.
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.
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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2
CA
08/12/2019 - Present
Truist Securities, Inc. (SAN FRANCISCO CA)
CA
04/24/2014 - 09/03/2014
WEDBUSH SECURITIES INC. (LOS ANGELES CA)
BC
Issued 08/26/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/12/2019
Series 7TO - General Securities Representative Examination
BC
Issued 07/19/2019
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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