Minh Trang

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CRD#: 3127878

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.

Minh Trang was a registered financial professional .

Minh is a previously registered financial professional and started their career in finance in 2001. Minh had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 20, 2009 - October 18, 2016

SVB ASSET MANAGEMENT

RIA

CRD#: 124567

santa clara, CA

Past

October 17, 2007 - October 18, 2016

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

CRD#: 46902

SAN FRANCISCO, CA

Past

January 23, 2007 - September 7, 2007

TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION

CRD#: 135978

PLANO, TX

Past

March 17, 2004 - June 14, 2004

STONE & YOUNGBERG LLC

RIA

CRD#: 795

PHOENIX, AZ

Past

December 18, 2002 - June 14, 2004

STONE & YOUNGBERG LLC

CRD#: 795

SAN FRANCISCO, CA

Past

January 1, 2002 - November 25, 2002

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

August 31, 2001 - January 1, 2002

FIXED INCOME SECURITIES, INC.

CRD#: 14279

SAN DIEGO, 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".

SVB ASSET MANAGEMENT

CRD#: 124567 / SEC#: 801-61674

RIA

Registered Investment Advisory firm - (1/2/2003 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 4/18/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/30/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/2002

General Securities Principal Examination

Current Firm

SVB ASSET MANAGEMENT

CRD#: 124567 / SEC#: 801-61674

RIA

Registered Investment Advisory firm - (1/2/2003 Approved)

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Contact information

Main Address

222 2nd Street, San Francisco, CA 94105

Mailing Address

Phone number

(866) 719-9117

Established

Firm type

Fiscal year end

# of Employees

104

SEC notice filing (20 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SVB ASSET MANAGEMENT FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	523
AUM (Assets Under Management)	$ 32,960,320,956

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

Minh Trang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION

STONE & YOUNGBERG LLC

STONE & YOUNGBERG LLC

ADVISORS ASSET MANAGEMENT, INC.

FIXED INCOME SECURITIES, INC.

Primary Firm SEC Registration

SVB ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 4/18/2007

SIE

Date: 10/18/2016

Series 7

Date: 8/30/2001

Series 24

Date: 7/29/2002

Current Firm

SVB ASSET MANAGEMENT

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SVB ASSET MANAGEMENT

TRUST BUT VERIFY

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