Trang Tran, financial advisor Rolling Hills CA

Trang Tran

CRD Number: 6606194
Current Firm: Rbc Capital Markets, LLC

Trang Tran (CRD# 6606194) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Rolling Hills, CA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Rbc Capital Markets, LLC Palos Verdes, CA May 2021 - Current < 1
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Jp Morgan Securities LLC Temple City, CA Jan 2016 - Jan 2019 3
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Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2016
S66 NASAA Uniform Combined State Law Examination May 2019
Disclosure Information

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.

Get Details on the FINRA Advisor Check site
Contact Info for Trang H. Tran
Phone Number: 212-858-7000
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    146,593
    MILLIONS
  • Total Number of Accounts
    350,883
    ACCOUNTS
  • Average Account Value
    $417,783
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 pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • 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, WY

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