TN
Tran H. Ngo
STRATEGIC ADVISERS LLC
SAN JOSE, CA
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CRD#: 4670869
TN
Professional summary
Tran Hang Ngo is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in San Jose, California and FIDELITY BROKERAGE SERVICES LLC located in Campbell, California.
Tran is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Tran has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
OBA-96108|OrgNmn:In Home Supportive Service|Org Addr:San Jose,California,US|OBA Nature:my service is paid by IHSS - I|Invst Rel:N|Title:Independent Contractor|Duties:Offer help to my elderly aunt in my spare time|StrtDt:01-01-21|TotHrs/mon:31|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Tran Hang Ngo'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®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 851 East Hamilton Ave Ste 100, Campbell, CA 95008-0600RIA
CRD#: 104555
SAN JOSE, CA
Current
April 24, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 851 East Hamilton Ave., Ste 100, Campbell, CA 95008BD
CRD#: 7784
CAMPBELL, CA
Past
June 2, 2023 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
CAMPBELL, CA
Past
January 22, 2015 - February 6, 2018
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Sunnyvale, CA
Past
April 13, 2006 - February 6, 2018
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Sunnyvale, CA
Past
October 25, 2005 - March 4, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SCOTTS VALLEY, CA
Past
May 13, 2004 - October 24, 2005
SCOTTRADE, INC.
BD
CRD#: 8206
ST. LOUIS, MO
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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(6/2/2023)
RR
California(5/26/2023)
IAR
California(3/31/2025)
RR
Colorado(6/2/2023)
RR
Connecticut(6/2/2023)
RR
Florida(6/2/2023)
RR
Georgia(6/2/2023)
RR
Illinois(6/2/2023)
RR
Indiana(6/2/2023)
RR
Maryland(6/2/2023)
RR
Massachusetts(6/2/2023)
RR
Michigan(6/2/2023)
RR
Minnesota(6/2/2023)
RR
Missouri(6/2/2023)
RR
New Jersey(6/2/2023)
RR
New York(6/2/2023)
RR
North Carolina(6/2/2023)
RR
Ohio(6/5/2023)
RR
Pennsylvania(6/2/2023)
RR
Texas(6/2/2023)
IAR
Texas(3/31/2025)
RR
Virginia(6/2/2023)
RR
Washington(6/2/2023)
RR
Wisconsin(6/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/24/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
