Francis 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.
Francis Tuan Tran, who also goes by Francis Tran, Tuan Dinh Tran, Francis T Tran, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2012. Francis had worked at 6 firms and has passed the Series 66, 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
March 29, 2023 - June 26, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2023 - June 26, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 2022 - February 17, 2022
SECURIAN FINANCIAL SERVICES, INC.
January 24, 2022 - February 17, 2022
SECURIAN FINANCIAL SERVICES, INC.
March 25, 2017 - August 10, 2021
MML INVESTORS SERVICES, LLC
March 25, 2017 - August 10, 2021
MML INVESTORS SERVICES, LLC
October 26, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
October 1, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 10, 2014 - August 5, 2015
SECURIAN FINANCIAL SERVICES, INC.
December 13, 2013 - August 5, 2015
SECURIAN FINANCIAL SERVICES, INC.
October 1, 2012 - August 23, 2013
J.P. MORGAN SECURITIES LLC
May 24, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
