Quoc K. Tran

TRAN CAPITAL MANAGEMENT, L.P.

San Rafael, CA 94901

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CRD#: 2808598

Professional summary

Quoc Kinh Tran is a registered financial advisor currently at TRAN CAPITAL MANAGEMENT, L.P. located in San Rafael, California.

Quoc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Quoc has worked at 4 firms and has passed the Series 65, Series 63, Series 3 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Quoc Kinh 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

August 28, 2013 - Present

TRAN CAPITAL MANAGEMENT, L.P.

Office #1: 1000 4th St Suite 800, San Rafael, CA 94901

RIA

CRD#: 107049

San Rafael, CA

Past

July 3, 2002 - September 6, 2005

WEITZ SECURITIES, INC.

CRD#: 17673

OMAHA, NE

Past

February 13, 1998 - June 26, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

September 30, 1997 - January 6, 1998

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRAN CAPITAL MANAGEMENT, L.P.

LATEEF INVESTMENT MANAGEMENT, LP. | TRAN CAPITAL MANAGEMENT, L.P. | LATEEF MANAGEMENT ASSOCIATES

CRD#: 107049 / SEC#: 801-9747

RIA

Registered Investment Advisory firm - (2/16/1974 Approved)

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
(8/28/2013)

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: 8/27/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/14/1999

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/29/1997

General Securities Representative Examination

Current Firm

TRAN CAPITAL MANAGEMENT, L.P.

LATEEF INVESTMENT MANAGEMENT, LP. | TRAN CAPITAL MANAGEMENT, L.P. | LATEEF MANAGEMENT ASSOCIATES

CRD#: 107049 / SEC#: 801-9747

RIA

Registered Investment Advisory firm - (2/16/1974 Approved)

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Contact information

Main Address

1000 4th St Suite 800, San Rafael, CA 94901

Mailing Address

Phone number

(415) 461-3800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRAN CAPITAL ADV 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	329
AUM (Assets Under Management)	$ 958,743,001

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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Advisor Monitoring

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Quoc K. Tran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Quoc Kinh Tran's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEITZ SECURITIES, INC.

GOLDMAN SACHS & CO. LLC

DWS DISTRIBUTORS, INC.

Primary Firm SEC Registration

TRAN CAPITAL MANAGEMENT, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2013

Series 63

Date: 11/10/1997

Series 3

Date: 10/14/1999

Series 7

Date: 9/29/1997

Current Firm

TRAN CAPITAL MANAGEMENT, L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRAN CAPITAL MANAGEMENT, L.P.

TRUST BUT VERIFY

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