Anh-dao Tran

B. RILEY WEALTH MANAGEMENT

Reston, VA 20190

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CRD#: 2627381

Professional summary

Anh-dao Tran, who also goes by Anh Dao Tran, Anhdao Tran, Ann Tran, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Reston, Virginia.

Anh-dao is registered as a RR (Registered Representative) and started their career in finance in 2006. Anh-dao has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Anh Dao Tran | Anhdao Tran | Ann Tran

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anh-dao 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

December 6, 2019 - Present

B. RILEY WEALTH MANAGEMENT

Office #1: 1900 Reston Metro Plaza Suite 600, Reston, VA 20190

CRD#: 2543

Reston, VA

Past

June 5, 2018 - December 9, 2019

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

RESTON, VA

Past

April 1, 2011 - June 6, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MCLEAN, VA

Past

March 10, 2010 - June 6, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MCLEAN, VA

Past

September 6, 2006 - September 22, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

VIENNA, VA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Tennessee
(12/6/2019)

Virginia
(12/6/2019)

Exams

State Security Law Exam

Series 63

Date: 10/9/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

B. RILEY WEALTH MANAGEMENT

CRD#: 2543 / SEC#: 801-67275, 8-31206

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

40 South Main Suite 1800, Memphis, TN 38103

Mailing Address

40 South Main Suite 1600, Memphis, TN 38103

Phone number

(901) 251-1330

Established

Tennessee since 01/10/1992

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

250

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BRWM ADV PART 2A FIRM BROCHURE 03/2022 (3/31/2022)

BRWM ADV PART 2A WRAP FEE PROGRAM BROCHURE 03/2022 (3/31/2022)

Direct owners and executive officers

Name	Position	CRD#
B. RILEY WEALTH MANAGEMENT HOLDINGS, INC.	DIRECT OWNER
BONNEMA, STEPHEN JOSEPH	CHIEF ADMINISTRATIVE OFFICER	2229865
MULLEN, MICHAEL ANTHONY	CHIEF EXECUTIVE OFFICER	1428116
ORTEGA, DANIEL	CHIEF COMPLIANCE OFFICER	3095215
SWAIN, MARY ANN NELL	CHIEF FINANCIAL OFFICER	6484916
ZANONE, PHILIP RICHARD JR	CHIEF OPERATING OFFICER	2135221

Regulatory assets under management

Total Number of Accounts	9,621
AUM (Assets Under Management)	$ 4,118,839,755

Disclosures

Regulatory Event	18
Arbitration	4
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/28/2022	Cover Page	Report

Red Flags

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Firm Stability Insights

Anh-dao Tran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anh-dao Tran's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/9/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/5/2006

FINRA

Current Firm

B. RILEY WEALTH MANAGEMENT

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

B. RILEY WEALTH MANAGEMENT

TRUST BUT VERIFY

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