David A. 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.
David An Tran, who also goes by Bao Thy An Tran, Bao Thy Tran, Baothy An Tran, David An Tran, David Tran, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2014. David had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 3 and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2021 - March 6, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 28, 2021 - February 28, 2022
FIDELITY BROKERAGE SERVICES LLC
August 15, 2019 - December 6, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
August 15, 2019 - December 6, 2019
ALLSTATE FINANCIAL SERVICES, LLC
January 16, 2019 - July 31, 2019
KEY INVESTMENT SERVICES LLC
January 29, 2018 - May 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2017 - May 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2014 - September 30, 2014
T3 TRADING GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 56
Date: 2/21/2014
Proprietary Trader Qualification ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
