Tu A. Tran

CROSSPOINT FINANCIAL

Tustin, CA 92780

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CRD#: 2941092

Professional summary

Tu Anh Tran, CFP® is a registered financial advisor currently at CROSSPOINT FINANCIAL, LLC located in Tustin, California and ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey.

Tu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Tu has worked at 5 firms and has passed the Series 65, Series 63, SIE 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.

1)Real Estate Ownership; Multi-Family; Midway City CA 92655; Not investment related; 7/1/2008. 2)Crosspoint Financial-Investment Related- 17822 E. 17th St. Suite 310 Tustin, CA 92780- RIA- Founder/Principal- 03/2017 Start- 120 Hours/month- 60 hours during trading hours- Oversee the business, helping clients with their financial matters. 3) PKSF- Investment Related- 80 State St, Albany, NY 12207- Insurance- Insurance Agent- 03/2017 Start Date- 120 hours/month- 60 during trading hours- Oversee the business, help clients with financial matters.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tu Anh 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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

March 16, 2017 - Present

CROSSPOINT FINANCIAL, LLC

Office #1: 17822 East 17th Street Suite 310, Tustin, CA 92780

RIA

CRD#: 286443

Tustin, CA

Current

July 18, 2025 - Present

ALEXANDER CAPITAL, L.P.

Office #1: 10 Drs James Parker Blvd Suite 202, Red Bank, NJ 07701

CRD#: 40077

Red Bank, NJ

Past

March 16, 2017 - November 13, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Tustin, CA

Past

December 30, 1998 - March 15, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Tustin, CA

Past

August 13, 1998 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 13, 1998 - March 15, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Tustin, CA

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".

CROSSPOINT FINANCIAL, LLC

CRD#: 286443 / SEC#: 801-123648

RIA

Registered Investment Advisory firm - (4/7/2022 Approved)

California

Registered Investment Advisory firm - (10/25/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/17/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

California
(3/16/2017)

California
(7/18/2025)

New Jersey
(7/18/2025)

IAR

Texas
(6/17/2022)

Texas
(7/18/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/17/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/23/1998

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: 8/12/1998

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CROSSPOINT FINANCIAL, LLC

CRD#: 286443 / SEC#: 801-123648

RIA

Registered Investment Advisory firm - (4/7/2022 Approved)

California

Registered Investment Advisory firm - (10/25/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/17/2022 Terminated)

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Contact information

Main Address

17822 East 17th Street Suite 310, Tustin, CA 92780

Mailing Address

Phone number

(714) 617-4463

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B - TRAN (6/12/2025)

ADV PART 2A - FIRM BROCHURE (6/12/2025)

Regulatory assets under management

Total Number of Accounts	448
AUM (Assets Under Management)	$ 138,445,327

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

Firm Stability Insights

Tu A. Tran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALEXANDER CAPITAL, L.P.

PURSHE KAPLAN STERLING INVESTMENTS

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CROSSPOINT FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/1998

Series 63

Date: 1/23/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/12/1998

FINRA

Nasdaq Stock Market

Current Firm

CROSSPOINT FINANCIAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CROSSPOINT FINANCIAL, LLC

TRUST BUT VERIFY

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