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Tran My Ly

Cetera Advisors LLC

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About Tran My Ly

Tran My Ly is a financial professional with over 17 years of experience in the industry. Tran is currently registered with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Advisor Networks LLC and Cetera Investment Services LLC. Tran is a licensed Series 7 and Series 63 representative, and also holds the SIE. Tran was previously registered with FIRST ALLIED SECURITIES, INC., SUMMIT BROKERAGE SERVICES, INC., LEGEND EQUITIES CORPORATION, INVESTORS CAPITAL CORP., ING FINANCIAL PARTNERS, INC., and LINSCO/PRIVATE LEDGER CORP. Tran has worked in San Diego, California for most of her career.

Firm Information

Tran Ly is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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.

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.

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Tran Ly’s Registration & Firm History

CA

10/20/2015 - Present

Cetera Advisors LLC (SAN DIEGO CA)

CA

11/30/2010 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)

CA

10/20/2015 - 12/03/2019

SUMMIT BROKERAGE SERVICES, INC. (San Diego CA)

FL

10/20/2015 - 12/31/2016

LEGEND EQUITIES CORPORATION (PALM BEACH GARDENS FL)

MA

10/20/2015 - 11/29/2016

INVESTORS CAPITAL CORP. (LYNNFIELD MA)

CA

03/30/2007 - 09/04/2009

ING FINANCIAL PARTNERS, INC. (SAN DIEGO CA)

CA

03/28/2005 - 11/03/2006

LINSCO/PRIVATE LEDGER CORP. (SAN DIEGO CA)

NE

02/23/2004 - 02/17/2005

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 01/07/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tran My Ly.
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