linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Tran Minh Chau

Bofa Securities, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Tran? Claim Your Profile

About Tran Minh Chau

Tran Minh Chau is a financial professional with over 10 years of experience in the industry. Tran is currently registered with Bofa Securities, Inc. and is located in Sacramento, California. Prior to joining Bofa Securities, Inc., Tran worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and BMO CAPITAL MARKETS CORP.. Tran holds the Series 7, Series 63, Series 79 and SIE licenses.

Firm Information

Tran Chau is currently registered with Bofa Securities, Inc.. Bofa Securities, Inc. is a corporation formed in September 2015 and headquartered in New York, NY. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. Bofa Securities provides research-related services and publishes periodicals. The firm has 314 registered representatives.
Bofa Securities, Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

Not reported

Assets Under Management

Not reported

Total Clients

1,401

Total Financial Advisors

Services Offered

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.

check

research-related services

Research-related services

Fee Structure

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.

check

other

Negotiated fees for research-related services

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Tran Chau’s Registration & Firm History

CA

05/10/2019 - Present

Bofa Securities, Inc. (SACRAMENTO CA)

CA

09/17/2015 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SACRAMENTO CA)

IL

11/09/2007 - 07/08/2010

BMO CAPITAL MARKETS CORP. (CHICAGO IL)

Not sure if Tran Minh Chau is right for you?

Licenses & Designations

BC

Issued 08/31/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/26/2018

Series 7 - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/23/2015

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

L

Long-Term Stock Exchange, Inc.

M

MEMX 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

Disclosures

There is public disclosure for Tran Minh Chau. Review regulatory record here.
Not sure if Tran Minh Chau is right for you?