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DT

Dean M. Trinh

Some features on this profile are disabled
CRD#: 4344264
DT

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.

Dean Minh Trinh, who also goes by Duc Minh, was a registered financial advisor .

Dean is a previously registered financial advisor and started their career in finance in 2001. Dean had worked at 3 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Duc Minh

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

September 19, 2005 - July 25, 2006

ATLAS SECURITIES, LLC

BD
CRD#: 20991
SAN JOSE, CA
Past

October 29, 2001 - September 26, 2005

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
SAN JOSE, CA
Past

September 26, 2001 - September 26, 2005

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

July 30, 2001 - September 26, 2001

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/10/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/26/2001
General Securities Representative Examination

Current Firm

AS
ATLAS SECURITIES, LLC
AS OF 1/13/2003 AZ DBA CEASED; NOW ATLAS SECURITIES, INC. IN AZ | GOLDEN WEST SECURITIES, INC. | ATLAS SECURITIES, LLC | ATLAS SECURITIES, INC.

CRD#: 20991 / SEC#: , 8-38579

BD
Terminated by SEC on 11/06/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 12/14/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GOLDEN WEST FINANCIAL CORPORATIONOWNER
FIRENZE, STEVEN ANTHONYCHIEF COMPLIANCE OFFICER1625122
HUBBERT, MARK WILLIAMDIRECTOR1802805
HUYNH, LAIVU BAFINANCIAL/OPERATIONS PRINCIPAL4658574
IANNONE, LEZLIE ANNGROUP SENIOR VICE PRESIDENT, SECRETARY1965903
KEY, WALLACE LAWRENCEDIRECTOR, PRESIDENT, CHIEF OPERATING OFFICER719944
MACK, MARY TABBDIRECTOR2959378
SADLER, MATTHEW LEESENIOR VICE PRESIDENT1198720

Disclosures

Regulatory Event1

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.

Company Information

ATLAS SECURITIES, LLC

CRD#: 20991

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