Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thuc? Claim Your ProfileThuc Tran Tri is a financial advisor with over 16 years of experience in the financial services industry. Thuc Tri is currently registered with HSBC Securities (USA) Inc. and has held previous positions at WELLS FARGO ADVISORS, LLC, CHASE INVESTMENT SERVICES CORP. and WAMU INVESTMENTS, INC.. Thuc Tri is a licensed Investment Advisor Representative (IAR) and holds a variety of industry certifications including Series 6, 7, 63 and 65. Thuc Tri is also a registered representative with HSBC Securities (USA) Inc. and is a Bank Officer for HSBC Bank (USA) N.A., engaging in the sale of bank related products and services. Thuc Tri specializes in providing investment advice to individuals and businesses.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
10/12/2017 - Present
Hsbc Securities (usa) Inc. (Arcadia CA)
CA
05/28/2010 - 12/22/2011
WELLS FARGO ADVISORS, LLC (RIVERSIDE CA)
CA
05/02/2009 - 06/07/2010
CHASE INVESTMENT SERVICES CORP. (REDLANDS CA)
CA
03/23/2005 - 05/02/2009
WAMU INVESTMENTS, INC. (REDLANDS CA)
IA
Issued 06/27/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/29/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2006
Series 7 - General Securities Representative Examination
BC
Issued 03/21/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Thuc Tran is the right advisor for you? Invested Better is here to help.
