CT
Christian H. Tran
U.S. BANCORP ADVISORS
Los Gatos, CA 95030
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CRD#: 5051287
CT
Professional summary
Christian Huy Tran, who also goes by Christian Tran, Huy Tran, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Los Gatos, California.
Christian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Christian has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christian Tran | Huy 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) - RIA
Click below to view Christian Huy Tran's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christian Huy 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
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 127 N Santa Cruz, Los Gatos, CA 95030Office #2: 14184 Blossom Hill Rd, Los Gatos, CA 95032RIA
BD
CRD#: 14455
Los Gatos, CA
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 127 N Santa Cruz, Los Gatos, CA 95030Office #2: 14184 Blossom Hill Rd, Los Gatos, CA 95032RIA
BD
CRD#: 14455
Los Gatos, CA
Past
March 7, 2019 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Los Gatos, CA
Past
March 7, 2019 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Los Gatos, CA
Past
December 4, 2013 - August 4, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CUPERTINO, CA
Past
December 3, 2013 - August 4, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CUPERTINO, CA
Past
October 1, 2012 - December 6, 2013
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
MOUNTAIN VIEW, CA
Past
October 1, 2012 - December 6, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
MOUNTAIN VIEW, CA
Past
March 12, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
MOUNTAIN VIEW, CA
Past
March 12, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
MOUNTAIN VIEW, CA
Past
January 20, 2009 - March 29, 2010
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN JOSE, CA
Past
May 21, 2008 - March 29, 2010
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAN JOSE, CA
Past
May 29, 2007 - February 4, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
REDWOOD, CA
Past
February 3, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
REDWOOD, 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".
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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(2/13/2026)
RR
Arkansas(2/13/2026)
RR
California(2/13/2026)
IAR
California(2/13/2026)
RR
Colorado(2/13/2026)
RR
Hawaii(2/13/2026)
RR
Iowa(2/13/2026)
RR
Missouri(2/13/2026)
RR
Nevada(2/13/2026)
RR
North Carolina(3/4/2026)
RR
North Dakota(2/13/2026)
RR
Tennessee(2/13/2026)
RR
Texas(2/13/2026)
IAR
Texas(2/13/2026)
RR
Washington(2/13/2026)
RR
Wisconsin(2/13/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
800 N Brand Blvd. 16th Floor Ep-mn-n2wc, Saint Paul, MN, 55107
Mailing Address
800 N Brand Blvd. 16th Floor, Glendale, CA, 91203
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
244
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
