Vinh Q. Tran

KYUR

Irvine, CA

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CRD#: 1839412

Professional summary

Vinh Quang Tran is a registered financial advisor currently at KYUR, INC. located in Irvine, California.

Vinh is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Vinh has worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

RESEARCH CONSULTING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vinh Quang Tran's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 2, 2016 - Present

KYUR, INC.

RIA

CRD#: 284721

Irvine, CA

Past

November 13, 1990 - March 4, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 25, 1988 - March 13, 1989

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/31/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/17/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/1/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/12/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/22/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KYUR, INC.

CRD#: 284721 / SEC#: 801-108760

RIA

Registered Investment Advisory firm - (6/9/2023 Terminated)

California

Registered Investment Advisory firm - (3/14/2023 Approved)

Connecticut

Registered Investment Advisory firm - (4/5/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Newport Beach, CA

Mailing Address

63 Acorn Glen, Irvine, CA 92620

Phone number

(203) 552-0994

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 10,700,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Vinh Q. Tran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vinh Quang Tran's CRS (Customer Relationship Summary).

Certified licenses

Experience

KYUR, INC.

MORGAN STANLEY DW INC.

AETNA FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2016

Series 63

Date: 10/25/1995

Series 3

Date: 4/1/1998

Series 7

Date: 12/12/1990

Series 6

Date: 11/22/1988

Current Firm

KYUR, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KYUR, INC.

TRUST BUT VERIFY

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