Matthew 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.
Matthew Tran, who also goes by Minh Tran, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1999. Matthew had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2022 - December 1, 2023
INTEGRAL FINANCIAL LLC
April 5, 2010 - February 14, 2022
TREASURE FINANCIAL CORP.
October 15, 2003 - March 3, 2009
GOLDEN BENEFICIAL SECURITIES CORPORATION
August 14, 2002 - October 15, 2003
NT SECURITIES LLC
January 8, 2002 - August 1, 2002
RUSHMORE SECURITIES CORPORATION
November 16, 2000 - December 31, 2001
SUMMIT TRADING, INC.
September 27, 2000 - December 19, 2000
LLOYD, SCOTT & VALENTI, LTD.
November 5, 1999 - September 25, 2000
SUPERTRADE SECURITIES, INC.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/8/1999
Limited Representative-Equity Trader ExamCurrent Firm
INTEGRAL FINANCIAL LLC
CRD#: 120343 / SEC#: , 8-65284
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
