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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Tran is a financial advisor with Wells Fargo Clearing Services, LLC. Kevin is based in SAN JOSE, CA and has been in the industry since November 2008. Kevin holds licenses for Series 63, 66, 7, 9, and 10 exams. Kevin has previously worked with CHARLES SCHWAB & CO., INC., TD AMERITRADE, INC., CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY SMITH BARNEY, CITICORP INVESTMENT SERVICES, LORING WARD SECURITIES INC., and SCOTTRADE, INC. Kevin is registered in California, Colorado, Nevada, Oregon and Wyoming.
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.
Investment consulting services to institutional clients
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.
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2
CA
12/12/2022 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
CA
06/06/2022 - 01/19/2023
CHARLES SCHWAB & CO., INC. (Campbell CA)
CA
02/22/2022 - 01/19/2023
TD AMERITRADE, INC. (CAMPBELL CA)
CA
07/05/2019 - 02/28/2022
CITIGROUP GLOBAL MARKETS INC. (SANTA CLARA CA)
CA
04/19/2013 - 07/09/2019
WELLS FARGO CLEARING SERVICES, LLC (SAN JOSE CA)
CA
01/14/2013 - 04/12/2013
MORGAN STANLEY (SAN FRANCISCO CA)
CA
09/30/2010 - 02/03/2012
MORGAN STANLEY SMITH BARNEY (LOS GATOS CA)
CA
05/11/2006 - 04/26/2007
CITICORP INVESTMENT SERVICES (SAN JOSE CA)
CA
01/03/2006 - 03/15/2006
LORING WARD SECURITIES INC. (SAN JOSE CA)
MO
05/17/2004 - 01/07/2006
SCOTTRADE, INC. (ST. LOUIS MO)
BOTH
Issued 02/10/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/30/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/21/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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