Man 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.
Man Tran, CFP®, who also goes by Man Di Vong, was a registered financial professional .
Man is a previously registered financial professional and started their career in finance in 1997. Man had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2014 - March 7, 2019
TRANSAMERICA INVESTORS SECURITIES, LLC
August 7, 2014 - March 7, 2019
TRANSAMERICA RETIREMENT ADVISORS, LLC
August 9, 2007 - September 24, 2013
CHARLES SCHWAB & CO., INC.
November 6, 2000 - September 24, 2013
CHARLES SCHWAB & CO., INC.
March 17, 1999 - May 16, 2000
CITIGROUP GLOBAL MARKETS INC.
February 13, 1997 - March 25, 1999
PREFERREDTRADE, 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 8
Date: 5/28/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
