AT
Andrew T. Tran
U.S. BANCORP ADVISORS
Westminster, CA 92683
Some features on this profile are disabled
CRD#: 2957078
AT
Professional summary
Andrew Tung Tran, who also goes by Tung Nguyen, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Westminster, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Andrew has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tung Nguyen
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.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Tung Tran's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Tung Tran's 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®
NoneExperience
Current
January 20, 2005 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 535 Westminster Mall, Westminster, CA 92683Office #2: 20052 Brookhurst Street, Huntington Beach, CA 92646Office #3: 16141 Beach Blvd, Huntington Beach, CA 92647RIA
BD
CRD#: 14455
Westminster, CA
Current
January 20, 2005 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 535 Westminster Mall, Westminster, CA 92683Office #2: 20052 Brookhurst Street, Huntington Beach, CA 92646Office #3: 16141 Beach Blvd, Huntington Beach, CA 92647RIA
BD
CRD#: 14455
Westminster, CA
Past
October 31, 2003 - January 21, 2005
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
IRVINE, CA
Past
October 31, 2003 - January 21, 2005
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
November 30, 1999 - November 26, 2002
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SANTA ANA, CA
Past
July 22, 1999 - November 26, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
September 21, 1998 - June 10, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 5, 1997 - June 2, 1998
WALDRON & CO., INC.
BD
CRD#: 868
IRVINE, 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".
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
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
RR
Arizona(8/7/2017)
RR
Arkansas(8/30/2022)
RR
California(1/20/2005)
IAR
California(1/20/2005)
RR
Florida(12/8/2021)
RR
Hawaii(2/14/2019)
RR
Idaho(9/19/2016)
RR
Illinois(5/7/2019)
RR
Michigan(12/20/2022)
RR
Missouri(8/4/2020)
RR
Nevada(10/23/2015)
RR
New Jersey(2/6/2019)
RR
New York(2/7/2019)
RR
Ohio(2/5/2019)
RR
Tennessee(3/21/2025)
RR
Texas(2/6/2019)
IAR
Texas(1/21/2021)
RR
Virginia(1/31/2023)
RR
Washington(2/5/2019)
IAR
Washington(7/25/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
800 N Brand Blvd. 16th Floor 16th Floor, Glendale, CA, 91203
Mailing Address
800 N Brand Blvd. 16th Floor, Glendale, CA, 91203
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
244
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
