Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tran? Claim Your ProfileTran Nguyen tran is an investment advisor representative registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Tran is a general partner/managing member of Trizzy Tran LLC, a for-profit limited liability company that creates fashion and makeup marketing materials for brands. Tran has been in the industry for over three years and is currently registered in 18 states. Tran holds Series 63, 66 and 7TO licenses and is also registered with FINRA. Merrill Lynch, Pierce, Fenner & Smith Inc. manages approximately $10 billion - $50 billion in assets and has over 16,965 clients. The firm offers financial planning, portfolio management, pension consulting, and educational seminars.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
10/13/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LONGMEADOW MA)
NY
09/12/2020 - 06/27/2022
PRUCO SECURITIES, LLC. (FLUSHING NY)
MA
04/09/2021 - 04/15/2021
EQUITABLE ADVISORS, LLC (HATFIELD MA)
BOTH
Issued 09/19/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/28/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/15/2022
Series 7TO - General Securities Representative Examination
BC
Issued 09/12/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/04/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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