Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thi? Claim Your ProfileThi Quoc Tran is a financial advisor with Charles Schwab & Co., Inc. Thi Quoc has been in the financial services industry since March 27, 2009. Thi Quoc is currently registered with both FINRA and the state of Colorado, and has been licensed by the state of California. Thi Quoc specializes in providing financial planning and advisory services. Thi Quoc has worked with firms including MSI Financial Services, Inc. and Cetera Advisor Networks LLC in the past.
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
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2
CO
07/08/2016 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
CO
08/07/2015 - 06/06/2016
MSI FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
CO
08/06/2014 - 07/29/2015
CETERA ADVISOR NETWORKS LLC (DENVER CO)
CO
08/06/2014 - 07/29/2015
CETERA ADVISORS LLC (DENVER CO)
CO
08/06/2014 - 07/29/2015
CETERA FINANCIAL SPECIALISTS LLC (DENVER CO)
CO
08/06/2014 - 07/29/2015
CETERA INVESTMENT SERVICES LLC (DENVER CO)
CO
06/05/2009 - 07/12/2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)
CO
12/12/2006 - 04/21/2008
CHARLES SCHWAB & CO., INC. (ENGLEWOOD CO)
BC
Issued 02/28/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/19/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/22/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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