Minh Tran
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Minh Tran, who also goes by Ming Tran, was a registered financial professional .
Minh is a previously registered financial professional and started their career in finance in 1993. Minh had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2016 - December 31, 2021
IMST DISTRIBUTORS, LLC
February 24, 2013 - June 29, 2015
CHARLES SCHWAB & CO., INC.
April 30, 1998 - July 1, 2005
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
January 30, 1994 - January 5, 1998
IDS LIFE INSURANCE COMPANY
January 30, 1994 - January 5, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 1993 - June 9, 1993
HIBBARD BROWN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
IMST DISTRIBUTORS, LLC
CRD#: 130745 / SEC#: , 8-66389
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
