Hai-uy T. Dang
Professional summary
Hai-uy Tran Dang, who also goes by Hai T Dang, Hai Tran Dang ^^, Hai Uy Tran Dang, Hai Dang, Hai-uy T Dang, Hai-uy Tran Dang Mr., Hai-uy Tran Dang ^^, Haiuy Tran Dang Mr., Haiuy Tran Dang, Stuart Tran Dang Mr, Stuart Tran Dang ^^, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Newport Beach, California and ROCKEFELLER CAPITAL MANAGEMENT located in Newport Beach, California.
Hai-uy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Hai-uy has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Hai-uy Tran Dang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hai-uy Tran Dang's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 800 Newport Center Drive Suite 650, Newport Beach, CA 92660August 15, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 800 Newport Center Drive Suite 500, Newport Beach, CA 92660February 26, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 800 Newport Center Drive Suite 650, Newport Beach, CA 92660October 11, 2011 - March 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2011 - March 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 21, 2003 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 21, 2003 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 1, 2002 - June 21, 2002
GLOBAL-AMERICAN INVESTMENTS, INC.
October 22, 1999 - January 23, 2002
MORGAN STANLEY DW INC.
June 26, 1997 - August 25, 1999
WMA SECURITIES, INC.
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/2021)
(1/19/2023)
(2/26/2021)
(2/26/2021)
(3/2/2021)
(3/9/2021)
(3/8/2021)
(3/8/2021)
(3/8/2021)
(3/25/2021)
(3/17/2022)
(6/6/2023)
(3/1/2021)
(3/5/2021)
(4/16/2021)
(3/7/2021)
(3/2/2021)
(10/27/2022)
(2/27/2021)
(11/23/2022)
(2/26/2021)
(3/8/2021)
(3/1/2021)
Exams
FINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
