Dewey T. Tran
Professional summary
Dewey Tan Tran was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dewey is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Dewey had worked at 8 firms, which includes GREAT PACIFIC SECURITIES, THE AGEAN GROUP INC, WALDRON & CO. INC., MISCHLER FINANCIAL GROUP INC., GUGGENHEIM INVESTOR SERVICES LLC, SHAMROCK PARTNERS LTD, LIBERTY CAPITAL MARKETS INC., COASTLINE FINANCIAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2000 - November 5, 2008
GREAT PACIFIC SECURITIES
October 26, 1998 - February 4, 2000
THE AGEAN GROUP, INC
February 20, 1997 - September 18, 1998
WALDRON & CO., INC.
June 10, 1996 - February 6, 1997
MISCHLER FINANCIAL GROUP, INC.
September 6, 1995 - June 24, 1996
GUGGENHEIM INVESTOR SERVICES, LLC
June 13, 1995 - August 9, 1995
SHAMROCK PARTNERS, LTD
May 19, 1993 - February 13, 1995
LIBERTY CAPITAL MARKETS, INC.
December 10, 1992 - March 8, 1993
COASTLINE FINANCIAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GREAT PACIFIC SECURITIES
CRD#: 29251 / SEC#: , 8-44398
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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