AT
Anne K. Trinh
KESTRA ADVISORY SERVICES
Torrance, CA 90501
Some features on this profile are disabled
CRD#: 4590072
AT
Professional summary
Anne Kim Trinh, CFP®, CPWA®, who also goes by Anh Kim Tran, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Torrance, California and KESTRA INVESTMENT SERVICES, LLC located in Georgetown, Texas.
Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Anne has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anh Kim Tran
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.
Business Name: FAMILY WEALTH COUNSELING, LLC POSITION: President & Owner NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/15/2021 ADDRESS: 9951 Anderson Mill Road, #201, Austin TX 78750 DESCRIPTION: Provide financial planning, investment and insurance services Business Name: FAMILY WEALTH COUNSELING, INC. POSITION: President & Owner NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/29/2019 ADDRESS: 2377 Crenshaw Blvd., Suite 150B, Torrance CA 90503 DESCRIPTION: Provide financial planning, investment and insurance services Business Name: CHRISTIAN FOUNDATION OF AMERICA POSITION: volunteer NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 03/16/2020 ADDRESS: 1 Dole Dr., #3133, Westlake Vilalge CA 91362 DESCRIPTION: Participate in meetings and conduct workshops to promote charitable giving. Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: President NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/22/2021 ADDRESS: 5707 Southwest Parkway, Building 2 Suite 400, Austin TX 78735 DESCRIPTION: IAR Business Name: ANNE TRINH POSITION: Agent NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2002 ADDRESS: 2377 Crenshaw Blvd. Suite 150B, Torrance CA 90501 DESCRIPTION: Serve as agent of record for 1 group health insurance policy with Kaiser. Business Name: 2FISH FOUNDATION POSITION: Executive Director NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/26/2024 ADDRESS: 317 Bayonne St., El Segundo CA 90245 DESCRIPTION: The executive director collaborates with the board of directors to implement programs and plan activities to achieve the organization's goals. Business Name: FWC BUSINESS CONSULTING POSITION: President NATURE: Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 05/28/2024 ADDRESS: 9951 Anderson Mill Road #201, Austin TX 78750, United States DESCRIPTION: Market and provide consulting and coaching services to business owners using CEPA methodology and the Value Business Builder system.
CRS (Client Relationship Summary) - RIA
Click below to view Anne Kim Trinh's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2008
Experience
Current
October 25, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2377 Crenshaw Blvd, Suite 150b, Torrance, CA 90501Office #2: 9951 Anderson Mill Rd, Suite 201, Austin, TX 78750RIA
CRD#: 283330
Torrance, CA
Current
October 25, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 4411 South Ih-35 Suite 100-b, Georgetown, TX 78626BD
CRD#: 42046
Georgetown, TX
Past
October 22, 2008 - November 2, 2021
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
TORRANCE, CA
Past
September 9, 2008 - November 2, 2021
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
TORRANCE, CA
Past
October 30, 2002 - September 15, 2008
WADDELL & REED
RIA
CRD#: 866
HERMOSA BEACH, CA
Past
October 17, 2002 - September 15, 2008
WADDELL & REED
BD
CRD#: 866
HERMOSA BEACH, 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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/25/2021)
RR
California(10/25/2021)
IAR
California(10/26/2021)
RR
Florida(10/26/2021)
RR
Idaho(10/26/2021)
RR
Nevada(10/25/2021)
RR
North Carolina(1/3/2022)
RR
Ohio(10/25/2021)
RR
Oregon(12/23/2021)
RR
Rhode Island(10/25/2021)
RR
South Carolina(10/26/2021)
RR
Texas(10/25/2021)
IAR
Texas(10/25/2021)
RR
Utah(10/20/2022)
RR
Virginia(7/23/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
