Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith H Tran is a financial advisor with UBS Financial Services Inc., with over 29 years of experience in the financial services industry. Keith has a wide range of experience, working with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., Morgan Stanley DW Inc., MML Investors Services, Inc., and The Prudential Insurance Company of America. Keith has experience in various areas, including portfolio management, financial planning, and pension consulting. Keith is licensed in 15 states and holds a Series 7, Series 6, Series 10, Series 9, Series 31, Series 63 and Series 65 licenses. Keith's expertise includes investment strategies for individuals, families, businesses, and charitable organizations. Keith Tran is committed to providing clients with personalized financial advice and investment strategies to help them reach their financial goals.
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.
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.
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.
See schedule d - miscellaneous
1
2
CA
01/11/2021 - Present
UBS Financial Services Inc. (IRVINE CA)
CA
10/23/2009 - 07/26/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BREA CA)
CA
06/16/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FULLERTON CA)
CA
04/02/1996 - 06/20/2006
MORGAN STANLEY DW INC. (IRVINE CA)
MA
07/08/1995 - 09/20/1995
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NJ
06/28/1991 - 11/11/1993
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
06/28/1991 - 11/11/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 04/12/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/03/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/05/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/26/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 04/09/1996
Series 7 - General Securities Representative Examination
BC
Issued 06/26/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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