Duc TranCRD Number: 3095273
Current Firm: Ameriprise Financial Services, Inc.
Duc Tran (CRD# 3095273) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Riverside, CA and has over 18 years of experience in the finance industry.
The Tarbox Group, Inc.
Financial Management Network Inc.
|Ameriprise Financial Services, Inc.||Pasadena, CA||Jun 2012 - Current||4|
|Wells Fargo Advisors Financial Network LLC||Pasadena, CA||Mar 2010 - May 2012||2|
|Citigroup Global Markets Inc.||Alhambra, CA||May 2007 - Mar 2010||2|
|Citicorp Investment Services||Alhambra, CA||Dec 2006 - Oct 2007||< 1|
|Wm Financial Services||Burbank, CA||Apr 2004 - Dec 2006||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1998|
|S66||NASAA Uniform Combined State Law Examination||Jul 2003|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management178,060MILLIONS
Total Number of Accounts1,085,445ACCOUNTS
Average Account Value$164,044
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
- Educational seminars/workshops
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, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV