TT
Tuong-vy N. Tran
EMPOWER ADVISORY GROUP
Littleton, CO
Some features on this profile are disabled
CRD#: 5514568
TT
Professional summary
Tuong-vy N Tran, who also goes by Tuong-vy N Tran, Tuong-vy Ngoc Tran, Vy N Tran, Vy Tran, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Littleton, Colorado and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Tuong-vy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Tuong-vy has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tuong-Vy N Tran | Tuong-Vy Ngoc Tran | Vy N Tran | Vy 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.
ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY OR PRIVATE INVESTMENT WITH A NON-PUBLIC ENTITY
NAME OF ENTITY: COOLER BY THE SEA, LLC.
POSITION: SIGNER OF BANK ACCOUNT
START DATE: 6/3/2016
ADDRESS: 10985 Beaumont TX
DETAILS: DISTRIBUTE SEAFOOD TO RESTAURANT, GROCERY STORES, AND INDIVIDUAL CONSUMERS.
INVESTMENT RELATED: NO
HOURS DEDICATED (per month unless otherwise indicated): 0
HOURS DURING TRADING: 0
CRS (Client Relationship Summary) - RIA
Click below to view Tuong-vy N 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
May 18, 2023 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
Littleton, CO
Current
May 18, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
June 19, 2013 - April 25, 2023
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
FOUNTAIN, CO
Past
June 19, 2013 - April 25, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
FOUNTAIN, CO
Past
January 3, 2011 - June 12, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GROVES, TX
Past
January 3, 2011 - June 12, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GROVES, TX
Past
January 5, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
DENVER, CO
Past
December 4, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
DENVER, CO
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".
EA
EMPOWER ADVISORY GROUP, LLC
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
RIA
Registered Investment Advisory firm - (11/22/2000 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(5/18/2023)
RR
Alaska(5/18/2023)
RR
Arizona(5/18/2023)
RR
Arkansas(5/18/2023)
RR
California(5/18/2023)
RR
Colorado(5/18/2023)
IAR
Colorado(5/18/2023)
RR
Connecticut(5/18/2023)
RR
Delaware(5/18/2023)
RR
Georgia(5/18/2023)
RR
Hawaii(5/18/2023)
RR
Idaho(5/18/2023)
RR
Illinois(5/18/2023)
RR
Indiana(5/18/2023)
RR
Iowa(5/18/2023)
RR
Kansas(5/18/2023)
RR
Kentucky(5/18/2023)
RR
Maine(5/18/2023)
RR
Massachusetts(5/18/2023)
RR
Michigan(5/18/2023)
RR
Minnesota(5/18/2023)
RR
Mississippi(5/18/2023)
RR
Missouri(5/18/2023)
RR
Montana(5/18/2023)
RR
Nebraska(5/18/2023)
RR
Nevada(5/18/2023)
RR
New Hampshire(5/18/2023)
RR
New Jersey(5/18/2023)
RR
New Mexico(5/18/2023)
RR
New York(5/18/2023)
RR
North Carolina(5/18/2023)
RR
North Dakota(5/18/2023)
RR
Oklahoma(5/18/2023)
RR
Oregon(5/18/2023)
RR
Pennsylvania(5/18/2023)
RR
Rhode Island(5/18/2023)
RR
South Carolina(5/18/2023)
RR
South Dakota(5/18/2023)
RR
Tennessee(5/18/2023)
RR
Texas(5/18/2023)
RR
Utah(5/18/2023)
RR
Vermont(5/18/2023)
RR
Virginia(5/18/2023)
RR
Washington(5/18/2023)
RR
West Virginia(5/18/2023)
RR
Wisconsin(5/18/2023)
RR
Wyoming(5/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EA
EMPOWER ADVISORY GROUP, LLC
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
RIA
Registered Investment Advisory firm - (11/22/2000 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8515 East Orchard Rd 4t2, Greenwood Village, CO 80111
Mailing Address
Phone number
(866) 575-4977
Established
Firm type
Fiscal year end
# of Employees
822
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 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.
