Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jimmy? Claim Your ProfileJimmy Tran is a financial professional with over 20 years of experience in the industry. Jimmy has been registered with the state of California and Texas since 2015 and 2019, respectively. Jimmy has worked for Morgan Stanley, Charles Schwab & CO., INC., UBS Financial Services Inc., and Citigroup Global Markets Inc. Jimmy holds a Certified Financial Planner designation and has passed several industry exams, including the Series 7, Series 9, Series 10, Series 63, and Series 66. Jimmy is currently employed with Charles Schwab & CO., INC. and specializes in offering financial planning, selection of other advisors, and wrap fee programs.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CA
01/02/2019 - Present
Charles Schwab & CO., Inc. (San Mateo CA)
CA
02/16/2012 - 11/24/2015
MORGAN STANLEY (MENLO PARK CA)
TX
04/03/2008 - 02/17/2009
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CA
12/07/2007 - 03/26/2008
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
11/08/2000 - 11/03/2006
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
BOTH
Issued 01/23/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/23/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/27/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/12/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Jimmy Tran is the right advisor for you? Invested Better is here to help.
