Tony V Tran
Professional Summary
Tony V Tran is a registered financial advisor currently at MTS SECURITIES, LLC located in New York, New York. Tony is registered as a RR (Registered Representative) and started their career in finance in 2005. Tony has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 79 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
KPS KAPITAL, LLC | MTS SECURITIES, LLC
Contact Information
Main Address
623 Fifth Avenue 14th Floor, New York, NY 10022Mailing Address
623 Fifth Avenue 14th Floor, New York, NY 10022Phone Number
(212) 887-2100Established
Delaware since 08/10/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Sep 2016About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Tony V Tran's CRS (Customer Relationship Summary).
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