Tommy Tran, financial advisor Fountain Valley CA
93 score

Tommy Tran

CRD Number: 5323918
Current Firm: Citigroup Global Markets Inc.

Tommy Tran (CRD# 5323918) is an Investment Advisor Representative working at Citigroup Global Markets Inc. in Fountain Valley, CA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Citigroup Tustin, CA Apr 2016 - Current < 1
Bank Of The West Tustin, CA Oct 2014 - Apr 2016 1
Bancwest Investment Services Tustin, CA Oct 2014 - Mar 2016 1
Jp Morgan Chase Bank Na Westminster, CA Nov 2013 - Sep 2014 < 1
J.p. Morgan Securities LLC Westminster, CA Oct 2012 - Nov 2013 1
Jp Morgan Chase Bank Na Westmister, CA Apr 2011 - Nov 2013 2
Chase Investment Services Corp. Westminster, CA Apr 2011 - Oct 2012 1
Automobile Club Of Southern California Irvine, CA Jun 2010 - Apr 2011 < 1
National Planning Corporation Irvine, CA Jan 2008 - Jun 2010 2
Trilogy Financial Services Irvine, CA Jan 2008 - Jun 2010 2
Ameriprise Financial Services,inc. Irvine, CA Apr 2007 - Dec 2007 < 1
Oak Hill Mortgage Las Vegas, NV Dec 2006 - Apr 2007 < 1
First Security Lending Burbank, CA Jan 2006 - Nov 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2007
Contact Info for Tommy T. Tran
Phone Number: 212-816-6000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    22,285
    MILLIONS
  • Total Number of Accounts
    42,945
    ACCOUNTS
  • Average Account Value
    $518,927
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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