Jacqueline T. 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.
Jacqueline Thuy-le Tran, who also goes by Jacqueline Thuyle Tran, Thuy Le Tran, was a registered financial professional .
Jacqueline is a previously registered financial professional and started their career in finance in 1999. Jacqueline had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2024 - August 13, 2025
CHARLES SCHWAB & CO., INC.
May 7, 2024 - August 13, 2025
CHARLES SCHWAB & CO., INC.
June 2, 2021 - June 10, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 28, 2021 - June 10, 2022
FIDELITY BROKERAGE SERVICES LLC
June 6, 2019 - May 10, 2021
COMERICA SECURITIES
June 6, 2019 - May 10, 2021
COMERICA SECURITIES
March 1, 2018 - June 4, 2019
CITIZENS SECURITIES, INC.
March 1, 2018 - June 4, 2019
CITIZENS SECURITIES, INC.
July 1, 2016 - February 23, 2018
OSAIC INSTITUTIONS, INC.
July 1, 2016 - February 23, 2018
OSAIC INSTITUTIONS, INC.
September 17, 2014 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
June 5, 2013 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
October 1, 2012 - May 29, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - May 29, 2013
J.P. MORGAN SECURITIES LLC
July 9, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 11, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 13, 2009 - April 9, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - April 9, 2010
PNC WEALTH MANAGEMENT LLC
August 24, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
August 24, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
December 6, 2005 - August 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2005 - August 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2004 - September 9, 2005
LPL FINANCIAL LLC
August 9, 2002 - September 22, 2004
MONY SECURITIES CORPORATION
October 3, 2000 - August 21, 2002
EQUITABLE ADVISORS, LLC
September 1, 1999 - September 29, 2000
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
