Mimi V. Tran

TRB SECURITIES

HARLINGEN, TX 78552

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CRD#: 4749294

Professional summary

Mimi Vuong Tran, who also goes by Mimi Thanh Vuong, is a registered financial professional currently at TRB SECURITIES, 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.

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 SECURITIES, LLC

Office #1: 6770 West Expressway 83, Harlingen, TX 78552

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.

CRD#: 17465

SOUTHLAKE, TX

Past

May 12, 2010 - February 7, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

COLUMBUS, OH

Past

October 23, 2009 - April 27, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SOUTHLAKE, TX

Past

February 24, 2004 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

IRVING, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Texas
(12/2/2024)

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 3/4/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 8/6/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 2/23/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Status Unavailable

Passed: 5/24/2007

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

TRB SECURITIES, LLC

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

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

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 (49 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEXAS REGIONAL BANK	OWNER
COULTER, ROBERT VINCENT	CHIEF COMPLIANCE OFFICER/MUNICIPAL SECURITIES PRINCIPAL	4211707
HEBERT, MICHAEL JAMES	COMPLIANCE OFFICER/VP/SROP	1229298
HINOJOSA, NOE JR	PRESIDENT - MUNICIPAL BANKING	1782212
JOHNSON, KRISTY KAY	FINOP	4470948
TIPPIT, JOHN LEE IV	CEO/PRESIDENT OF CAPITAL MARKETS	5809446

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.

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Advisor Monitoring

Firm Stability Insights

Mimi V. Tran

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mimi Vuong Tran's CRS (Customer Relationship Summary).

Certified licenses

Experience

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES

FROST BROKERAGE SERVICES, INC.

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Passed: 3/4/2004

SIE

Passed: 10/1/2018

Series 7

Passed: 8/6/2010

Series 6

Passed: 2/23/2004

Series 26

Passed: 5/24/2007

FINRA

Current Firm

TRB SECURITIES, LLC

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TRB SECURITIES, LLC

TRUST BUT VERIFY

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