Fiona T. Tran
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Fiona Thanh Tran, who also goes by Tran Thanh Thi Thuy, Thuy T Tran, Thuy Thanh Tran, was a registered financial professional .
Fiona is a previously registered financial professional and started their career in finance in 2006. Fiona had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2014 - November 16, 2015
BOUSTEAD SECURITIES, LLC
August 13, 2014 - August 18, 2014
WELLINGTON SHIELDS & CO., LLC
February 12, 2014 - March 18, 2014
PAULSON INVESTMENT COMPANY LLC
January 9, 2013 - June 25, 2013
FAIRFAX SECURITIES CORPORATION
September 5, 2007 - December 3, 2007
WORLD GROUP SECURITIES, INC.
August 22, 2006 - September 26, 2006
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
BOUSTEAD SECURITIES, LLC
CRD#: 141391 / SEC#: , 8-67384
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
