Alexandra D. Tran
STRATEGIC ADVISERS LLC | Financial Consultant
SAN JOSE, CA
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CRD#: 5102459
Professional summary
Alexandra Dieu Tran, CFP®, who also goes by Alexandra Dieu Tran, Dieu Ngoc Tran, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in San Jose, California and FIDELITY BROKERAGE SERVICES LLC located in Sunnyvale, California.
Alexandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Alexandra has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
I work with clients to understand their unique situations and goals to help them make informed financial decisions. I also help clients create customized financial plans for themselves. I've been in the industry for over 15 years.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
Insurance Planning
Education Planning
Employee and Employer Plan Ben...
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Alexandra Dieu Tran | Dieu Ngoc 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 Alexandra Dieu 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®
CFP®
Start date: 2012
Education
University of California, Berkeley
Bachelor of Science (BS) - Chemical Engineering
2002
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 398 W. El Camino Real Suite 102, Sunnyvale, CA 94087-1398RIA
CRD#: 104555
SAN JOSE, CA
Current
February 29, 2008 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 398-#102 W. El Camino Real, Sunnyvale, CA 94087BD
CRD#: 7784
Sunnyvale, CA
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SUNNYVALE, CA
Past
February 28, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SUNNYVALE, CA
Past
February 26, 2008 - February 26, 2008
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
CAMPBELL, CA
Past
June 20, 2006 - February 20, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CAMPBELL, CA
Past
May 26, 2006 - February 20, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CAMPBELL, 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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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.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(10/8/2021)
RR
Arizona(1/14/2015)
RR
California(2/29/2008)
IAR
California(3/31/2025)
RR
Colorado(9/8/2015)
RR
Connecticut(1/6/2020)
RR
Florida(1/6/2020)
RR
Georgia(7/8/2022)
RR
Illinois(5/3/2024)
RR
Kansas(3/4/2022)
RR
Maryland(3/4/2022)
RR
Massachusetts(1/6/2020)
RR
Missouri(3/2/2024)
RR
Nevada(2/29/2008)
RR
New Jersey(7/21/2023)
RR
North Carolina(7/19/2021)
RR
Oregon(2/29/2008)
RR
Rhode Island(8/24/2017)
RR
Texas(1/7/2019)
IAR
Texas(3/31/2025)
RR
Utah(6/24/2021)
RR
Virginia(6/24/2021)
RR
Washington(8/24/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
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Company Information
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555San Jose, CATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
