Thuy Tran

FOCUS PARTNERS ADVISOR SOLUTIONS

San Jose, CA

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CRD#: 4824004

Professional summary

Thuy Tran, who also goes by Thu Thuy Tran, is a registered financial advisor currently at FOCUS PARTNERS ADVISOR SOLUTIONS, LLC located in San Jose, California.

Thuy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Thuy has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thu Thuy 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thuy 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 13, 2018 - Present

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

RIA

CRD#: 143319

San Jose, CA

Past

October 29, 2018 - September 3, 2020

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

San Jose, CA

Past

December 4, 2006 - December 13, 2018

LWI FINANCIAL INC.

RIA

CRD#: 111861

SAN JOSE, CA

Past

November 11, 2004 - October 29, 2018

LORING WARD SECURITIES INC.

CRD#: 46337

San Jose, CA

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".

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA

Registered Investment Advisory firm - (2/1/2007 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.

Highlighted states indicate IAR registrations

IAR

California
(12/13/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/29/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/14/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/2024

General Securities Principal Examination

Current Firm

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA

Registered Investment Advisory firm - (2/1/2007 Approved)

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Contact information

Main Address

190 Carondelet Plaza Suite 600, St. Louis, MO 63105

Mailing Address

Phone number

(314) 725-0455

Established

Firm type

Fiscal year end

# of Employees

368

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/27/2025)

ADV PART 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	78,053
AUM (Assets Under Management)	$ 32,238,330,999

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

Thuy Tran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

LWI FINANCIAL INC.

LORING WARD SECURITIES INC.

Primary Firm SEC Registration

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/29/2005

Series 7TO

Date: 3/14/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/10/2004

Series 24

Date: 3/14/2024

Current Firm

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

TRUST BUT VERIFY

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