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MT

Mimi V. Tran

TRB CAPITAL MARKETS
Harlingen, TX 78552
Some features on this profile are disabled
CRD#: 4749294
MT

Professional summary

Mimi Vuong Tran, who also goes by Mimi Thanh Vuong, is a registered financial professional currently at TRB CAPITAL MARKETS, LLC located in Harlingen, Texas.

Mimi is registered as a RR (Registered Representative) and started their career in finance in 2004. Mimi has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mimi Thanh Vuong

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.
I am the President-Elect of the Colleyville Chamber of Commerce, a non-profit group. I sit on the board of directors and executive board. This will start in June 2020. It is not investment related. I intend to spend approximately 3-5 hours monthly devoted to this activity and of those hours, approximately 3-5 may occur during trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mimi Vuong Tran's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 2, 2024 - Present

TRB CAPITAL MARKETS, LLC

Office #1: 6770 West Expressway 83, Harlingen, TX 78552
BD
CRD#: 322618
Harlingen, TX
Past

January 27, 2022 - January 11, 2023

FROST INVESTMENT SERVICES

RIA
CRD#: 286129
Southlake, TX
Past

June 22, 2017 - December 31, 2021

FROST INVESTMENT SERVICES

RIA
CRD#: 286129
SOUTHLAKE, TX
Past

March 5, 2013 - January 11, 2023

FROST BROKERAGE SERVICES, INC.

BD
CRD#: 17465
SOUTHLAKE, TX
Past

May 12, 2010 - February 7, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
COLUMBUS, OH
Past

October 23, 2009 - April 27, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SOUTHLAKE, TX
Past

February 24, 2004 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
IRVING, TX

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
Texas
(12/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/6/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/23/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/24/2007
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRB CAPITAL MARKETS, LLC
ESTRADA HINOJOSA | TRB CAPITAL MARKETS, LLC

CRD#: 322618 / SEC#: , 8-70999

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
6770 West Expressway 83, Harlingen, TX 78552
Mailing Address
6770 West Expressway 83, Harlingen, TX 78552
Phone number
(956) 682-2265
Established
Texas since 08/19/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEXAS REGIONAL BANKOWNER
COULTER, ROBERT VINCENTCHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL4211707
HEBERT, MICHAEL JAMESCOMPLIANCE OFFICER/VP/SROP1229298
HINOJOSA, NOE JRPRESIDENT - MUNICIPAL BANKING1782212
JOHNSON, KRISTY KAYFINOP4470948
TIPPIT, JOHN LEE IVCEO/PRESIDENT OF CAPITAL MARKETS5809446

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

TRB CAPITAL MARKETS, LLC

CRD#: 322618Harlingen, TX 78552

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