Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Xuan? Claim Your ProfileXuan Thi Tran is a financial advisor at LPL Financial LLC, located in San Jose, CA. Xuan Thi Tran has been in the financial services industry since December 6, 2013. Xuan Thi Tran is licensed to provide investment advice in California and has been registered with the state since April 11, 2019. Prior to joining LPL Financial LLC, Xuan Thi Tran was employed by WELLS FARGO CLEARING SERVICES, LLC. Xuan Thi Tran holds Series 7 and Series 66 licenses. Xuan Thi Tran provides financial planning and portfolio management services to individuals, businesses, and charitable organizations.
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.
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.
Consulting and other non-discretionary advisory services
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.
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CA
01/08/2023 - Present
LPL Financial LLC (SAN JOSE CA)
CA
11/01/2013 - 03/05/2019
WELLS FARGO CLEARING SERVICES, LLC (MILPITAS CA)
BOTH
Issued 01/06/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/11/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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