ST
Stephen J. Tran
INGALLS & SNYDER
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 4697623
ST
Professional summary
Stephen J Tran, who also goes by Nhien Hao Tran, Stephen Joseph Tran, is a registered financial professional currently at INGALLS & SNYDER, LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nhien Hao Tran | Stephen Joseph 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stephen J Tran'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
August 18, 2023 - Present
INGALLS & SNYDER, LLC
Office #1: 1 Rockefeller Plaza 7th Floor, New York, NY 10020Office #2: 1 Rockefeller Plaza 7th Floor, New York, NY 10020RIA
BD
CRD#: 2288
NEW YORK, NY
Past
September 4, 2013 - March 27, 2023
TD PRIME SERVICES LLC
BD
CRD#: 1914
NEW YORK, NY
Past
January 18, 2006 - October 27, 2011
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
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".
INGALLS & SNYDER, LLC
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS & SNYDER, LLC | INGALLS & SNYDER LLC | INGALLS & SNYDER | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
CRD#: 2288 / SEC#: 801-5016, 8-1865
RIA
Registered Investment Advisory firm - SEC (8/21/1968 Approved)Vermont
Registered Investment Advisory firm - SEC (11/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(8/18/2023)
RR
Alaska(8/18/2023)
RR
Arizona(8/18/2023)
RR
Arkansas(8/18/2023)
RR
California(8/18/2023)
RR
Colorado(8/18/2023)
RR
Connecticut(8/18/2023)
RR
Delaware(8/18/2023)
RR
District of Columbia(8/18/2023)
RR
Florida(8/18/2023)
RR
Georgia(8/18/2023)
RR
Hawaii(8/18/2023)
RR
Idaho(8/18/2023)
RR
Illinois(8/18/2023)
RR
Indiana(8/18/2023)
RR
Iowa(8/18/2023)
RR
Kansas(8/18/2023)
RR
Kentucky(8/18/2023)
RR
Louisiana(8/18/2023)
RR
Maine(8/18/2023)
RR
Maryland(8/18/2023)
RR
Massachusetts(8/18/2023)
RR
Michigan(8/18/2023)
RR
Minnesota(8/18/2023)
RR
Mississippi(8/18/2023)
RR
Missouri(8/18/2023)
RR
Montana(8/18/2023)
RR
Nebraska(8/18/2023)
RR
Nevada(8/18/2023)
RR
New Hampshire(8/18/2023)
RR
New Jersey(8/18/2023)
RR
New Mexico(8/18/2023)
RR
New York(8/18/2023)
RR
North Carolina(8/18/2023)
RR
North Dakota(8/18/2023)
RR
Ohio(8/18/2023)
RR
Oklahoma(8/18/2023)
RR
Oregon(8/18/2023)
RR
Pennsylvania(8/18/2023)
RR
Puerto Rico(8/18/2023)
RR
Rhode Island(8/18/2023)
RR
South Carolina(8/18/2023)
RR
South Dakota(8/18/2023)
RR
Tennessee(8/18/2023)
RR
Texas(8/18/2023)
RR
Utah(8/18/2023)
RR
Vermont(8/18/2023)
RR
Virginia(8/18/2023)
RR
Washington(8/18/2023)
RR
West Virginia(8/18/2023)
RR
Wisconsin(8/18/2023)
RR
Wyoming(8/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INGALLS & SNYDER, LLC
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS & SNYDER, LLC | INGALLS & SNYDER LLC | INGALLS & SNYDER | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
CRD#: 2288 / SEC#: 801-5016, 8-1865
RIA
Registered Investment Advisory firm - SEC (8/21/1968 Approved)Vermont
Registered Investment Advisory firm - SEC (11/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020
Mailing Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020
Phone number
(212) 269-7800
Established
New York since 01/02/1996
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
84
SEC notice filing (48 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| I&S GROUP, LLC | PARENT HOLDING COMPANY | |
| BOUCHER, THOMAS ONEIL JR | MANAGING DIRECTOR | 730430 |
| CASE, ROBERT ANTHONY | CHIEF EXECUTIVE OFFICER | 1367765 |
| CASE, ROBERT ANTHONY | SENIOR MANAGING DIRECTOR | 1367765 |
| DOUGHERTY, JOHN JOSEPH | MANAGING DIRECTOR | 1960029 |
| GARRISON, APHRODITE MAVRICOS | MANAGING DIRECTOR | 1763811 |
| GRISANTI, ADAM F | EXECUTIVE DIRECTOR | 4413657 |
| GRISANTI, ADAM F | CHIEF OPERATIONS OFFICER | 4413657 |
| GRISANTI, ADAM F | CHIEF FINANCIAL OFFICER | 4413657 |
| JANOVIC, ADAM DAVID | MANAGING DIRECTOR | 1521203 |
| LANE-ZUCKER, KEITH SIMON | MANAGING DIRECTOR | 4050531 |
| MCLEAN, ALICE BARZUN | MANAGING DIRECTOR | 4477581 |
| MEEHAN, SEAN PATRICK | MANAGING DIRECTOR | 5033839 |
| PARK, CHRISTIAN CHIHONG | EXECUTIVE DIRECTOR | 3106787 |
| PARK, CHRISTIAN CHIHONG | CHIEF COMPLIANCE OFFICER | 3106787 |
| RIEGEL, GUY RICHARDS | MANAGING DIRECTOR | 1050269 |
| THATCHER, JAMES EDWIN | MANAGING DIRECTOR | 5872101 |
| WESTON, CHRISTINE ELIZABETH | MANAGING DIRECTOR | 1136404 |
Regulatory assets under management
| Total Number of Accounts | 4,189 |
| AUM (Assets Under Management) | $ 6,897,915,721 |
Disclosures
| Regulatory Event | 18 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/22/2024 | ||
| 09/27/2023 |
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.
