Khe 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.
Khe Thi Tran, who also goes by Kay Tran, Khe T Tran, was a registered financial professional .
Khe is a previously registered financial professional and started their career in finance in 2001. Khe had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2017 - December 12, 2018
LOURDMURRAY
March 18, 2014 - August 8, 2017
VP DISTRIBUTORS LLC
August 23, 2007 - June 3, 2013
BEL AIR SECURITIES LLC
March 23, 2006 - July 13, 2007
NEXT FINANCIAL GROUP, INC.
June 3, 2004 - March 10, 2006
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
April 25, 2003 - March 30, 2004
FORESTERS EQUITY SERVICES, INC.
September 27, 2002 - February 10, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 14, 2002 - February 10, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 11, 2002 - July 29, 2002
CIBC WORLD MARKETS CORP.
October 15, 2001 - July 29, 2002
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOURDMURRAY
CRD#: 140305 / SEC#: 801-66803
Contact information
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.
