Alexander A. Tran
Professional summary
Alexander A Tran, who also goes by Alexander An Tran, is a registered financial advisor currently at VANTAGE WEALTH located in Pasadena, California.
Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Alexander has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alexander A Tran's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2021 - Present
VANTAGE WEALTH
Office #1: 125 North Raymond Avenue Suite 309, Pasadena, CA 91103May 17, 2017 - December 8, 2021
GENTER CAPITAL MANAGEMENT
October 13, 2016 - November 17, 2021
IMST DISTRIBUTORS, LLC
December 18, 2014 - January 23, 2015
EAGLE STRATEGIES LLC
November 16, 2012 - January 23, 2015
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
VANTAGE WEALTH
CRD#: 111324 / SEC#: 801-49690
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/12/2021)
Exams
Series 7TO
Date: 3/22/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/22/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
VANTAGE WEALTH
CRD#: 111324 / SEC#: 801-49690
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 457 |
| AUM (Assets Under Management) | $ 609,061,977 |
Red Flags
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