Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tommy? Claim Your ProfileTommy Tho Tran is a financial advisor with over 15 years of experience in the industry. Tommy is currently registered with Citigroup Global Markets Inc. and is a licensed representative in California. Tommy has experience with a variety of financial services, including investment advice, asset allocation, and portfolio management. Tommy has worked with a diverse range of clients, including high-net-worth individuals, corporations, and charitable organizations. Previously, Tommy has worked with BANCWEST INVESTMENT SERVICES, INC., J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., NATIONAL PLANNING CORPORATION, and AMERIPRISE FINANCIAL SERVICES, INC. Tommy has a strong track record of success in helping clients achieve 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.
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.
Asset allocation advice
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.
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2
CA
04/25/2016 - Present
Citigroup Global Markets Inc. (GARDEN GROVE CA)
CA
10/21/2014 - 05/12/2016
BANCWEST INVESTMENT SERVICES, INC. (IRVINE CA)
CA
10/01/2012 - 11/22/2013
J.P. MORGAN SECURITIES LLC (GARDEN GROVE CA)
CA
04/29/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (WESTMINSTER CA)
CA
11/06/2007 - 06/07/2010
NATIONAL PLANNING CORPORATION (IRVINE CA)
CA
05/17/2007 - 09/25/2007
AMERIPRISE FINANCIAL SERVICES, INC. (IRVINE CA)
BOTH
Issued 08/01/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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